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Managing Director, Regulatory Affairs
TIAA-CREF
Chicago, IL, United States
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COMPANY OVERVIEW:
As long as there are people who make the world a better place, we’ll keep making a difference for them. Since 1918, it has been TIAA’s mission to serve those who serve others. It is this mission and the values we embrace that make us a different kind of financial services organization.
When you work here at TIAA, you’re not just in it for yourself. You are part of something bigger. A collective mission to make a difference – a collective mission we make our own.
To be difference makers.
For more information about TIAA, visit our website.
POSITION SUMMARY:
The Managing Director, Regulatory Affairs is responsible for helping TIAA meet its regulatory obligations, maintain constructive relationships with regulators, and promote TIAA’s reputation for integrity and excellence. This individual will oversee the regulatory and supervisory relationships for TIAA and Nuveen’s approximately 20 registered investment advisors, investment companies, and broker-dealers.
KEY RESPONSIBILITIES AND DUTIES:
• Manage regulatory exams, inquiries, and investigations conducted by the SEC, CFTC, FINRA, NFA, DOL, state securities regulators, and other regulatory agencies
• Report to senior management and Board (particularly Nuveen Fund Board) on significant regulatory developments
• Lead the Company’s advocacy efforts on securities and asset management related regulatory proposals and policy issues
• Work with Law, Compliance, and business partners to mitigate and manage regulatory risks and remediate exam findings
• Manage the team’s travel, subscriptions, outside counsel and consultants, and staff development budgets
QUALIFICATIONS:
Required:
• BA Degree
• 10+ years of regulatory and/or legal experience
Preferred:
• JD Degree
• Industry experience via working at an industry regulatory agency, a financial service institution and/or in a private law practice advising clients
• Strong oral and written communication skills
• Knowledge of securities laws and industry standards and norms applicable to registered investment advisers, broker-dealers, and the asset management industry.
• Ability to identify and address subtle and complex issues
• Ability to troubleshoot and resolve complex problems utilizing creativity, transparency, legal knowledge, advocacy skills, and analytical acuity