Jan 20, 2023

Managing Director, Associate Gen Counsel - Investment Adviser

  • TIAA / Nuveen
  • Hybrid (New York, NY, USA)
Full time Legal

Job Description

The Associate General Counsel (Investment Adviser) position provides advice and counsel to Nuveen’s investment management business leaders and colleagues in areas such as investment adviser regulation, distribution of investment products and services, investment transactions/trading, and governance.  This position is a key partner in the growth of Nuveen’s Equities and Fixed Income business, which represents approx. $850 billion in AUM (as of 10/31/22) across a wide variety of asset classes, wrappers, and client types, including institutional and retail separately managed accounts, investment companies, hedge funds and other pooled investment vehicles. 

The Associate General Counsel position supports the firm’s institutional SMA business, retail SMA business, and certain alternatives products, providing important advice and leadership on legal issues. The position collaborates with other Law & Policy Department colleagues (in the U.S. and globally) as well as Compliance, Risk, Trading, Operations, Product Management, Global Strategic Relations/National Accounts, Sales, Marketing, Finance, Human Resources and other groups. The position has direct engagement with third party institutional clients and distributors with respect to institutional separate accounts (including third party investment company and other subadvisory mandates), retail separately managed accounts and certain alternatives products.

Key Responsibilities and Duties

  • Provides hands-on counsel to management in executing the firms’ strategic priorities. 
  • Manages the day-to-day legal work for certain business lines, with responsibility for short-term policy and strategy implementation.
  • Provides legal advice and collaborates with other colleagues and other departments with respect to investment adviser regulation matters such as Form ADV, Form PF, Section 13 filings, policies and procedures, investment adviser marketing and sales, and other disclosure and reporting matters.
  • Negotiates and approves various agreements, such as investment advisory agreements, private fund organizational, offering and distribution agreements, and other documents related to a variety of trade, commercial, financial, and operational matters.
  • Directs the research, analysis, and interpretation of proposed and existing laws, statutes, and regulations for how they may impact the asset management organization.
  • Advises on entity governance and incentive plan matters for several of Nuveen’s subsidiaries.
  • Advises executive management on recent changes in laws and regulations that affect the company and influences others outside of legal area regarding policies, practices and procedures.
  • Manages and works in partnership with external legal counsel.
  • Provides legal advice with respect to relevant provisions of Investment Advisers Act of 1940, Investment Company Act of 1940, Title 1 of ERISA, Securities Act of 1933, Securities Exchange Act of 1934, FINRA rules, Global Investment Performance Standards (GIPS), etc. relevant to the foregoing.

Educational Requirements

  • University (Degree) Preferred

Work Experience

  • 5+ Years Required; 7+ Years Preferred

Physical Requirements

  • Physical Requirements: Sedentary Work


Career Level
9PL

Qualifications:

Required Qualifications:

  • 5 years of experience in providing legal advice to a U.S. registered investment adviser with significant experience in investment management regulatory, distribution, trading and/or governance areas, and license to practice law required.

Preferred Qualifications:

  • 10+ years of experience in providing legal advice to a U.S. registered investment adviser with significant in-house experience in investment management regulatory, distribution, trading and/or governance areas.
  • JD from an ABA-accredited law school and member in good standing of a state bar
  • Strong verbal and written communication skills, interpersonal skills and organizational skills.
  • Ability to work both collaboratively and independently.
  • Advanced problem solving and prioritization skills.

Base Pay Range: $174,900/yr. - $291,500/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). 

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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: 

Phone: (800) 842-2755

Email: accessibility.support@tiaa.org

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