I currently serve as Senior Managing Director and Head of Compliance for Nuveen, a TIAA company, which is a global asset manager with over $1 trillion in assets under management. I am a member of the Nuveen Executive Committee, and lead a team of 80 Compliance professionals based in the U.S. and abroad. The business was created through the formal combination of Nuveen Investments and TIAA's asset management businesses and is comprised of 14 SEC registered investment advisers, a fund distributor and placement agent (U.S. broker-dealer), two U.S. mutual fund complexes, a UCITS platform, and a growing array of investment and distribution capabilities throughout Europe and Asia-Pacific regions.During my time with Nuveen I have played a key role in guiding the company through substantial change, establishing a robust compliance program that balances commercial objectives with strong risk management to deliver ongoing value to the business. I also have extensive experience presenting to multiple boards of directors.Prior to joining Nuveen in 2011, I held a number of progressively senior executive compliance roles with Fidelity Investments and Citibank, N.A..Throughout my career, I have continually built dynamic compliance functions with great emphasis on efficiency and right-sized solutions. My colleagues know me as a proactive and pragmatic leader with a keen understanding of business drivers and regulation, together with a steadfast commitment to integrity and excellence.
Listed skills include Compliance Strategy, Retail And Institutional Distribution, Capital Markets/Trading, Ethics And Reputational Matters, and 14 others.
