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Compliance and Operations Associate

$75,000- $97,000/ year
Posted Jun 02
Full Time
On Site
Minneapolis, Minnesota

Winslow Capital is a leading active growth manager with $30 billion under management in large cap public equity and late-stage private equity. Our firm has been investing in transformational growth companies since 1992. We have the stature, assets, resources, experience and expertise to find and understand growth companies across sectors and around the world. Winslow Capital is an independent investment affiliate of Nuveen. For more information, please visit our website at www.winslowcapital.com.

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information about the firm please visit our website at www.Nuveen.com.

As the Compliance and Operations Associate, you will be a key member of Winslow Capital’s Compliance and Operations Teams and assist with administering important elements of the investment adviser compliance program, assist in supporting certain aspects of portfolio accounting operations, ensuring that due diligence and sound internal controls are exercised to operate with integrity and protect against compliance, legal, and operational risks.

The Compliance and Operations Associate role provides a unique opportunity for an individual looking to grow their career in a professional, team-oriented, entrepreneurial environment.

 

Key Responsibilities and Duties

  • Responsible for certain aspects of the Winslow Capital compliance monitoring and testing program.

  • Responsible for the review of certain marketing materials.

  • Oversight of portfolio daily cash and position reconciliations performed by Outsourced Servicing Team.

  • Assist in client-initiated cash flow monitoring processes.

  • Assist with analyzing and interpreting new compliance regulations and standards.

  • Assist in the development and maintenance of compliance policies and procedures.

  • Prepare client and consultant reports and certifications.

  • Perform portfolio monthly NAV reconciliation of custodian data to the portfolio accounting system.

  • Assist in the preparation of compliance-related training materials and present on compliance-related subjects.

  • Assist in conducting Rule 206(4)-7 annual reviews.

 

Educational Requirements

  • University (Degree) Preferred

 

Work Experience

  • 2+ Years Required; 3+ Years Preferred


Career Level

6IC

Required Qualifications:

  • Minimum 2+ years of compliance and/or operations experience

Preferred Qualifications:

  • 3+ years of compliance and/or operations experience
  • Proficient in Microsoft Excel
  • Strong organizational skills and meticulous attention to detail
  • Excellent interpersonal and communication skills, both oral and written
  • Self-starter with the ability to work independently, manage own schedule and initiate projects with limited direction
  • Experience working in the financial industry
  • Understanding of the Investment Advisers Act of 1940 and other relevant federal and state rules and regulations

Base Pay Range: $75,000/yr. - $97,000/yr.

Actual base salary may vary based upon, but not limited to, relevant experience, time in role, base salary of internal peers, prior performance, business sector, and geographic location.  In addition to base salary, the competitive compensation package may include, depending on the role, participation in an incentive program linked to performance (for example, annual discretionary incentive programs, non-annual sales incentive plans, or other non-annual incentive plans). 

 

Company Overview

Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies. For more information about the firm please visit our website at www.Nuveen.com

Benefits and Total Rewards

The organization is committed to making financial well-being possible for its clients, and is equally committed to the well-being of our associates. That’s why we offer a comprehensive Total Rewards package designed to make a positive difference in the lives of our associates and their loved ones. Our benefits include a superior retirement program and highly competitive health, wellness and work life offerings that can help you achieve and maintain your best possible physical, emotional and financial well-being. To learn more about your benefits, please review our Benefits Summary.

Equal Opportunity

We are an Equal Opportunity/Affirmative Action Employer. We 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 protected status.

Read more about the Equal Opportunity Law here.

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: