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Marketing Material Review Associate
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Nuveen, the investment management arm of TIAA, is one of the largest investment managers in the world with $1.4 trillion in assets under management and operations in 32 countries.
Managing a broad array of assets across diverse asset classes, geographies, and investment styles, it provides investors access to a wide range of liquid and illiquid alternative strategies such as real estate, real assets, private equity and debt, in addition to both traditional and fixed income assets. Its investment specialists offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.
Key Responsibilities and Duties
Compliance Review and Monitoring:
- Review marketing materials for compliance with applicable rules, regulations, firm policies and procedures, and other regulatory or reputational risks
- Review marketing initiatives across products and services offered through Nuveen and its investment specialists (including but not limited to 529 plans, mutual funds, closed-end funds, collective investment trusts, exchange-traded funds, private funds, separately managed accounts, UCITS, etc.)
- Review pitch books and fact sheets on new and existing products, including all relevant regulatory data
- Review social media activities and the firm's social media presence for adherence with marketing and communications compliance policies and procedures
- Review marketing delivery systems for functionality, websites for update protocols, and non-US distribution of materials for adherence to stated processes
Guidance and Documentation:
- Provide guidance on the applicability of regulatory requirements, internal review standards, and disclosure guidelines when reviewing and documenting approval of marketing materials
- Provide commentaries on marketing materials to ensure alignment with compliance and regulatory requirements
- Identify potential issues and update analytical commentaries on reviewed materials Problem
Resolution and Escalation:
- Research complex issues and help define necessary actions to resolve situations
- Escalate issues appropriately where needed
Partnership and Service Excellence:
- Support internal partners with a positive attitude
- Ensure defined service level standards continue to be met or exceeded in terms of timeliness and quality
Educational Requirements
- University (Degree) Preferred
Work Experience
- 2+ Years Required; 3+ Years Preferred
Physical Requirements
- Physical Requirements: Sedentary Work
Career Level
6IC
The Global Marketing Compliance Review team delivers excellence through monitoring and review of marketing materials to meet regulatory requirements, mitigate risk, and improve controls. The Marketing Material Review Associate performs pre-publication review of marketing materials, ensuring compliance with defined standards and regulatory requirements.
Required Skills:
- Relevant knowledge with respect to review and assessment of marketing material.
- Mandatory FINRA registrations: SIE, Series 7, and Series 24 certified.
- In-depth industry knowledge and regulatory experience, including strong understanding of applying FINRA, NAIC, GIPS, SEC, and NFA/CFTC marketing rules.
- Experience in a financial services firm in research or editorial and production of materials.
Preferred Skills:
- Extremely detail-oriented with inquisitive nature and sound judgment while operating with utmost integrity.
- Strong written and oral communication skills to interact effectively with business partners and colleagues.
- Strong organizational and problem-solving skills with ability to conduct research utilizing a variety of resources.
- Strong time management and analytical skills with ability to formulate, develop, and execute strategic initiatives.
- Strong Microsoft Excel abilities.
- Comfortable in a high-performance, fast-paced, high-pressure environment.
- Exceptional partnering skills with strong orientation toward teamwork and collaboration.
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Company Overview
TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA Global Capabilities is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.
Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.
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 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.
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: (800) 842-2755
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