AVP. Marketing Compliance Senior Associate

Nuveen Services LLC; Frisco (TX); On-site; USD 79,000 - 105,000; Full time

Job summary

Nuveen is seeking an Enterprise Compliance Officer to join Global Marketing Compliance. The Senior Associate will review and govern Nuveen marketing materials and communications to ensure compliance with SEC and FINRA rules and the firm’s internal guidelines.

You will provide practical, business‑minded guidance to Marketing, Product, Distribution and Legal teams, support filing determinations and regulatory feedback, and monitor disclosures, substantiation, performance data, and cross‑border

Qualifications

• FINRA Series 7 and Series 24 registrations are required.
• Strong knowledge of U.S. regulatory requirements for investment advisers and broker-dealers.
• Experience in marketing review, advertising compliance, or related areas.
• Ability to review complex marketing materials and provide practical recommendations.
• Experience with disclosures, substantiation, and cross-border materials.

Responsibilities

• Review advertising, marketing, sales literature, client communications, social media, website content, and other materials for regulatory compliance.
• Provide practical compliance guidance to Marketing, Product, Distribution, Legal and other partners.
• Identify and resolve potential regulatory, disclosure, and process issues; escalate as needed.
• Support with FINRA filing determinations and implementation of regulatory feedback in materials.
• Collaborate on new products, campaigns, digital initiatives, and cross-border materials.
• Develop and maintain policies, procedures, checklists, and training materials.
• Monitor QA program, post-approval checks, and documentation of observations and actions.

Skills

FINRA Series 7

FINRA Series 24

Regulatory compliance

Investment management

Education

University degree

Job description

Enterprise Compliance Officer

The Nuveen Marketing Compliance Senior Associate will serve as a member of Nuveen Global Marketing Compliance, supporting the review, approval, monitoring, and governance of Nuveen marketing materials and communications.

Key Responsibilities and Duties

• Review advertising, marketing, sales literature, client communications, social media, website content, presentations, thought leadership, product materials, and other marketing communications for compliance with applicable rules, regulations, firm policies, disclosure standards, and internal review guidelines.
• Provide practical, commercially aware compliance guidance to Marketing, Product, Distribution, Legal, Broker-Dealer Compliance, International Compliance, and other business partners regarding marketing content, distribution, audience, disclosures, substantiation, and regulatory considerations.
• Identify, analyze, and resolve potential regulatory, reputational, disclosure, supervision, filing, recordkeeping, and process-related issues; escalation of complex or higher-risk matters to management as appropriate.
• Support compliance review standards relating to the SEC Marketing Rule, FINRA communications rules, investment adviser advertising standards, hypothetical performance, testimonials and endorsements, third-party ratings, performance data, substantiation, fair and balanced presentation, and avoidance of misleading statements.
• Assist with FINRA filing determinations, coordination of filing-related comments, and implementation of applicable regulatory feedback in marketing materials.
• Partner with stakeholders on new products, campaigns, digital initiatives, web content, social media, presentations, cross-border materials, and other emerging areas of marketing communications and technology.
• Contribute to the development, maintenance, and enhancement of policies, procedures, review manuals, guidance documents, disclosure resources, checklists, training materials, and internal reference tools.
• Support the team’s monitoring and quality assurance program, including post-approval spot checks, review of supporting documentation, identification of process gaps, documentation of observations, and communication of coaching or corrective actions.
• Assist with workflow, platform, and process improvement initiatives, including improvements related to Norm Ai, disclosure management, substantiation repositories, queue management, metrics, and team information-sharing portals.
• Maintain accurate documentation of reviews, comments, approvals, escalations, supporting materials, and records in accordance with Nuveen policies and applicable recordkeeping requirements.
• Monitor relevant regulatory developments and contribute to implementation planning, communication, training, and updates to internal standards when requirements change.
• Participate in team meetings, working groups, disclosure forums, regulatory change discussions, audits, testing, examinations, and special projects as needed.

Educational Requirements

• University (Degree)

Preferred Work Experience

• 3+ Years Required; 5+ Years Preferred

FINRA Registrations

• SRC Indicator: Series 7; Series 24

Physical Requirements

• Sedentary Work

Career Level

• 7IC Required

Required Skills

• FINRA Series 7 and Series 24 registrations
• Working knowledge of U.S. regulatory requirements applicable to investment adviser and broker-dealer marketing communications, including SEC and FINRA standards.
• Asset management experience and familiarity with traditional and alternative investment products, including mutual funds, ETFs, closed-end funds, collective investment trusts, private funds, separately managed accounts, non-listed REITs, real estate, private credit, and other investment strategies.
• Preferred Skills: Five or more years of experience in marketing review, advertising compliance, investment management compliance, broker-dealer compliance, or communications compliance.
• Experience reviewing performance information, hypothetical performance, product-specific disclosures, third-party data, awards, ratings, ESG or responsible investing content, and cross-border or multi-jurisdictional marketing materials.
• Ability to review complex marketing materials, identify potential issues, and communicate clear, practical recommendations to business

Related Skills

• Adaptability
• Business Process Understanding
• Compliance
• Compliance Trends
• Critical Thinking
• Detail-Oriented
• Influence
• Relationship Management
• Risk Monitoring
• Strategic Thinking

Anticipated Posting End Date: 2026-11-06

Base Pay Range: $79,000/yr - $105,000/yr Actual 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 www.nuveen.com to learn more about us.

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 Benefits Summary.

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 careers home page, and you can read more about your rights and view government notices here.

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]

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Drug and Smoking Policy

TIAA maintains a drug-free and smoke-free workplace.

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Nondiscrimination & Equal Opportunity Employment

TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.

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