AVP, Compliance Advisor (RIA Compliance Sr Associate)

Nuveen; Charlotte (NC); Hybrid; USD 88,000 - 119,000; Full time

Job summary

Nuveen is seeking an AVP, Compliance Advisor to provide day-to-day compliance support for an SEC-registered investment adviser covering alternative strategies, including real estate and real assets. You will partner with the CCO to design, implement and monitor the compliance program.

Responsibilities include monitoring investment guidelines, conducting KYC reviews for Luxembourg products, assisting with international regulatory filings, and supporting Form ADV and Form PF submissions.

Qualifications

• 3+ years in regulatory compliance within financial services.
• Experience supporting RIAs that manage Alternatives asset class strategies and private placements.
• Working knowledge of various fund structures, including registered and unregistered funds.

Responsibilities

• Support day-to-day compliance inquiries from business partners of all levels.
• Assist with developing, reviewing and maintaining the RIA's compliance policies and procedures.
• Execute compliance monitoring across key areas, including investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight.
• Support the preparation and submission of international regulatory filings.
• Assist CCO with regulatory risk assessments and remediation plans.
• Drive collection of data and filing of annual Form ADV and Form PF submissions.
• Support investor due diligence meetings and oversight of compliance content in RFP responses and DDQs.
• Support expansion of international regulatory oversight capabilities.

Skills

Regulatory compliance

RIA/alternatives experience

Fund structures knowledge

Education

Bachelor's degree

Job description

**AVP, Compliance Advisor (RIA Compliance Sr Associate)**The AVP provides day-to-day compliance support for an SEC-registered investment adviser (\"RIA\") covering alternative strategies, including real estate and real assets, and the underlying business areas of the RIA. This role is a key contributor to the design, controls, and execution of the compliance program, partnering closely with the RIA's Chief Compliance Officer and business partners in assigned coverage areas. Working knowledge of alternative asset classes is a plus but not required.**Key Responsibilities and Duties*** Support day-to-day compliance inquiries from business partners of all levels.* Assist with developing, reviewing and maintaining the RIA's compliance policies and procedures to ensure alignment with evolving regulatory requirements.* Execute compliance monitoring across key areas, including investment guidelines, affiliation reviews, asset allocation reviews, KYC reviews related to Luxembourg products, and information barrier oversight.* Support the preparation and submission of international regulatory filings, supporting the RIA's global regulatory footprint.* Assist CCO with performing regulatory risk assessments to identify compliance issues, concerns, and deficiencies and implementing action plans to remediate identified issues* Drive collection of data and the preparation and filing of annual Form ADV and Form PF submissions, ensuring timely regulatory compliance.* Support investor due diligence meetings and help oversee compliance-related content included in RFP responses and periodic due diligence questionnaires.* Support the expansion of international regulatory oversight capabilities across the RIA's business lines.**Educational Requirements*** University (Degree) Preferred**Work Experience*** 3+ Years Required; 5+ Years Preferred**Physical Requirements*** Physical Requirements: Sedentary Work**Career Level**7ICRequired Skills* 3 or more years of experience in regulatory compliance within financial services industry* Experience supporting Registered Investment Advisers that manage Alternatives asset class strategies and private placements* Working knowledge of various fund structures, including both registered and unregistered fundsPreferred Skills* 5 or more years of experience in a regulatory compliance within financial services industry* Excellent attention to detail, strong analytical thinking, and effective written and verbal communication skills* Bachelor's degree* High proficiency in Microsoft Excel and PowerPointRelated SkillsAdaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking**Anticipated Posting End Date:**2026-10-07Base Pay Range: $87,800/yr - $119,000/yrActual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location. In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans).\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_\\_**Company Overview**Nuveen is a global investment leader, managing public and private assets for clients around the world and on behalf of TIAA, our parent company and one of the world's largest institutional investors. We invest in the growth of businesses, real estate, infrastructure and natural capital, providing clients with the reliability, access and foresight unique to our heritage. Our prevailing perspective on the future drives our ambition to innovate and adapt our business to the changing needs of investors - all to pursue lasting performance for our clients, our communities and our global economy. Visit**Our Culture of Impact**At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways - because when our people succeed, our impact on clients' lives grows stronger.**Benefits and Total Rewards**The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That's why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our .**Equal Opportunity**We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.Our full EEO & Non-Discrimination statement is on our, and you can read more about your rights and view government notices .**Accessibility Support**TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:Phone: [phone]Email: [e-mail]**Drug and Smoking Policy**TIAA maintains a drug-free and smoke/free workplace.**Privacy Notices**For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click .For Applicants of TIAA, Nuveen and Affiliates residing in California, please click .For Applicants of TIAA Global Capabilities, click .For Applicants of Nuveen residing in Europe and APAC, please click.