Vice President, Ethics Office recruitment
Lead and manage a team with responsibility for developing, maintaining and administering policies and processes pertaining to employee conduct (together comprising the “Ethics Office”). The Ethics Office will be responsible for policies relating to all aspects of employee trading; material non-public information; gifts and entertainment; pay-to-pay and lobbyist activities; and outside business activities and affiliations.
ESSENTIAL DUTIES AND RESPONSIBILITIES: The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.
• Develop and maintain firm-wide policies pertaining to employee trading; investing in limited offerings; material non-public information; gifts and entertainment; pay-to-play and lobbyist activities; outside business activities and affiliations.
• Implement internal operating procedures for Ethics Office personnel that result in the effective and efficient administration of all policies under the purview of the Ethics Office, including processes to ensure that all exceptions are researched, resolved and properly documented on a timely basis.
• Oversee the functionality and design of the system that Nuveen employees utilize to comply with various policies, i.e. ensure a top-flight employee experience when navigating and utilizing the system.
• Ensure that the “rules engine” designed to detect potential employee trading violations is in keeping with regulatory requirements and industry best practices, and is functioning as intended on an ongoing basis.
• Detailed working knowledge of the investment management process (roles and responsibilities of various key personnel and respective information flows) in order to ensure the Code of Ethics is appropriately designed and administered.
• Develop a process to track and report violations of firm policy, and a framework to administer employee sanctions. Perform trend analysis to target prospective policy revisions or enhanced training.
• Cultivate a service-oriented approach among staff, and that is rooted in expert knowledge of policies together with a helpful, can-do demeanor.
• Serve as the subject-matter expert to resolve escalations from staff members and employees concerning policy interpretation.
• Structure responsibilities among staff members, and train, mentor and develop staff and provide a constant stream of performance feedback.
• Key contributor to creating the content, and delivery of employee training.
• Drive compliance with all applicable changes in regulatory requirements that may impact Nuveen’s employee conduct related policies and processes.
• Fulfill all reporting obligations (such as the required annual report on the Code of Ethics).
SUPERVISORY RESPONSIBILITIES:
• The position will manage a team of three Compliance associates.
QUALIFICATIONS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
EDUCATION and/or EXPERIENCE:
• Bachelor’s degree required, and minimum 8-10 years of experience as a legal or compliance professional overall.
• Specific/substantive involvement in managing an Ethics Office function with an asset management organization.
• Subject matter expert with respect to SEC Rules 17j-1 and 204A-1, all FINRA rules relating to the scope of role.
• Previous experience with state and local Pay-to-Pay laws a plus.
• Industry perspective and relationships are highly desirable.
INTERPERSONAL/COMMUNICATION SKILLS:
• Exceptional written and oral communication skills, translating to the ability to effectively (i) draft policies and engage in various forms of communication with employees, and (ii) thoughtfully and effectively manage and lead team members.
CERTIFICATES, LICENSES, REGISTRATIONS:
• Series 7 and Series 24 registrations are required prior to hire.