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Nuveen Esg Compliance Associate
2 weeks ago
Compliance Associate
The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.
Key Responsibilities and Duties
- Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies.
- Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
- Supports organization and implementation of compliance audits.
- Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
- Drafts reports on the results of compliance and ethics initiatives of the business unit.
- Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
- Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.
Educational Requirements
- University (Degree) Preferred
Work Experience
- 2+ Years Required; 3+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
6IC
Position Summary: Describe below the primary purpose and function of this job
Position supports ESG Compliance program for Nuveen and its affiliates.
Key Duties & Responsibilities: List up to 5 key duties and responsibilities, management responsibilities and time spent (if applicable)
- Inventory, maintain and assist with reviewing ESG Policies and procedures from Nuveen affiliated advisers and individual investment teams where applicable
- Prepare summaries of ESG policies for production in response to client and prospect requests and for use in response to relevant questions in the RFP database
- Collect/maintain template scorecards, screening tools and dd/monitoring lists used by affiliates and investment teams, develop inventory to assist with substantiation of statements made relative integration practices. Assist ESG Compliance Head with streamlining this substantiation with the compliance marketing review process.
- With respect to private companies, support ESG Compliance Head in the collect and review of engagement/interactions between private investment teams and portfolio companies to assist with substantiating claims in marketing content
- Create and maintain an inventory of side letters with ESG requirements (if no list is kept already by legal) and to the extent any side letters commit the firm to take action
- Create and maintain an inventory IMA provisions with an ESG compliance component (other than portfolio compliance/investment restrictions)
- Assist ESG Compliance Head in assessing, preparing for and participating in ESG relevant governance bodies
Management/Leadership Responsibility: Is management of people a primary focus of the role? If so, how many direct and indirect employees are managed? Do any of them manage a function or process?
No, the position does not entail the management of other associates.
Budget Responsibility: Does the position have responsibility for Revenue, Operating (expense) Budget, etc.? If so, what is the scope?
No, the position does not have responsibility for Revenue or Operating Budgets.
Impact:
Nature of Impact - To what degree does this job affect the business (i.e., through interactions with customers, making decisions, defining or setting strategy, etc.)?
- Primary impact will affect ESG Compliance program and monitoring activities. May have impact on business partners on the Responsible Investing Team, Sustainability Officers and/or on Nuveen platform-wide investment teams.
Area of Impact - What is the breadth of the impact that this job has, either positive or negative (i.e., affects own team, department, function, business unit, geography, entire business, etc.)?
- Own team and Compliance Department
- Various business teams and 1st line controls will be better supported
Problem Solving: What is nature and complexity of the problems or decisions encountered? Are analytical skills needed?
- While the complexity of problems and decision points that will be enocountered by this position are expected to be assessed and resolved in close coordination with the Head of ESG Compliance, analytical, technicology expertise and strong writing and communication skills are necessary to increase the utility of this position within the department.
Functional Knowledge: What knowledge of concepts, process, principles or procedures is needed within discipline; SME?
- The ass
