• $100,670.00 -167,050.00/year*
  • Bradford, VT
  • Legal
  • Full-Time
  • 3552 Waits River Rd

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Founded in 1994, Symphony Asset Management is a diversified investment manager headquartered in San Francisco, CA. The firm employs 88 professionals and manages $19.5 billion in assets for global institutional across an integrated platform of hedge funds, separately managed accounts and sub-advised mutual funds in long-only/long short strategies and structured products, primarily in credit instruments. Symphony Asset Management applies a team-based, event-focused approach to rigorous fundamental research, valuation and risk analysis across the corporate capital structure, identifying and translating relative value into desired risk/reward outcomes for clients. Symphony Asset Management is a subsidiary of Nuveen, the investment management arm of TIAA. Nuveen is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website at www.Nuveen.com. POSITION SUMMARY: This position is for the Chief Compliance Officer of Symphony Asset Management. The position is located in San Francisco and reports to the Nuveen Head of Affiliate Compliance, located in New York. The Chief Compliance Officer is responsible for Symphonys Compliance program, with the understanding that the position involves a hands on approach. The Chief Compliance Officer will work on a wide variety of compliance-related matters involving Symphonys private funds and SMA clients, credit based strategies and CLOs and he/she will lead all areas of the compliance program. The Chief Compliance Officer will engage in a wide range of activities that assist with facilitating the development, maintenance and enhancement of Symphonys compliance program elements. The Chief Compliance Officer will also be for supervising Compliance staff and providing advice and guidance pertaining to the completion of compliance functions and tasks as well as performing some of them. MAJOR RESPONSIBILITIES: Provide day-to-day Compliance support to the Symphonys business, including: Working with the Head of Affiliate Compliance to ensure that Symphonys Compliance program incorporates that all require program elements while leveraging Compliances shared services at Nuveen and/or TIAA to maximize control efficiencies Developing and maintaining written compliance policies and procedures and establishing process for a documented annual review of such policies Reviewing, completing and maintaining the Annual Compliance Risk Assessment Drafting the Annual Compliance Reports Preparing for and responding to regulatory inquiries and examinations as well as internal audit and other reviews Design, execute and as appropriate perform or coordinate all appropriate monitoring processes and protocols, including investment guidelines, limitations, emails transaction surveillance and allocations among others Oversight of and review of marketing materials Participating in investor due diligence meetings and operational due diligence that support the businesss goals including reviews and approvals of RFPs, etc Design and generate recurring metrics for all key stakeholders Utilization of Nuveen/TIAA issue management tracking systems to report potentially systemic issues Providing advice and regulatory guidance in connection with the development of new products. Liaising with the Nuveen Compliance Ethics Office pertaining to Symphony employee conduct matters and ensuring the timely resolution of such matters Providing compliance specific trainings to employees Oversee and/or execute Symphonys regulatory filings, such as Form ADV, Form PF and relevant internal and client certifications Providing ongoing hands-on support and execution with respect to all critical ad-hoc compliance projects, as needed Staying abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulations Key contributor to Symphonys and Nuveens Compliance Strategic Plan QUALIFICATIONS: Bachelor degree or higher in a related field 10 years of related Compliance experience with strong knowledge of the Investment Advisers Act of 1940 and prior experience preferably as a CCO or Deputy CCO Prior regulatory experience with the SEC or FINRA is desired Experience managing and training a small team Strong ownership mentality with exceptional resourcefulness and drive for results. Solution oriented Knowledge of credit instruments and products including CLOs, loans, high yield, CDS and other derivatives Must be extremely organized, detail-oriented and have an analytical mindset with the ability to deliver key insights on complex compliance and business matters Excellent oral and written communication skills Ability to engage and work effectively with senior business management, parent company teams and staff in multiple locations Ability to manage and effectively influence while providing advice and guidance Ability to effectively prioritize work and manage multiple projects simultaneously Extremely strong work ethic, time management skills and the ability to work independently to produce deliverables on tight deadlines If you need assistance applying due to being visually or hearing impaired, please email Careers Help. We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status. Nuveen is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace. Learn more about Equal Employment Opportunity below. Nuveen 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.
Associated topics: business, company, compliance, compliance office, corporate, corporate attorney, counsel, courtroom, legal, llp

* The salary listed in the header is an estimate based on salary data for similar jobs in the same area. Salary or compensation data found in the job description is accurate.

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