AVP, Compliance Advisor (Distribution Compliance (America))

About the role

The AVP, Distribution Compliance supports the Chief Compliance Officer in administering compliance programs for a registered broker-dealer and Canadian distribution entity. This role executes day-to-day compliance operations and advises the business on regulatory and compliance matters. Working knowledge of a wholesale broker-dealer distribution model is a plus but not required. 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