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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.
Nuveen
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Sr. Managing Director, Head Of Compliance | Managing Director, Head Of Compliance | Svp, Deputy CcoNuveen 2011 - PresentNew York, Ny, UsNuveen, a TIAA company, is a global asset management company with over $1 trillion in assets under management and a global footprint. I was initially hired as a catalyst to transform the company’s compliance program in support of planned growth and development. After 18 months, I was promoted to Managing Director and Head of Compliance, and then promoted again following the merger with TIAA when I was selected to build and lead a unified global compliance program for the combined companies. I was charged with shaping the overarching compliance philosophy, guiding the complex integration, developing the strategic plan, and driving execution.I now lead a global team of 80 compliance professionals, chair key governance committees, and present regularly to multiple boards. During my time in this role, I have transformed the departmental culture by balancing a laser-like focus on risk management with a strong commercial orientation. I defined the department’s mission, established guiding principles for all managers, and instituted an annual compliance business planning process. I also built a shared services capability supporting the broad array of regulated entities with key initiatives including the creation of a firm-wide Ethics Office function, a consistent risk assessment and testing program, the implementation of governance and reporting processes, improved employee training, and an overhaul of the technology infrastructure.
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Svp, Head Of Capital Markets Compliance – Fidelity InstitutionalFidelity Investments 2009 - 2011Boston, Ma, UsHaving worked in corporate with Enterprise Compliance for several years, I was asked to transition into a leadership position within the Capital Markets line of business to reestablish the efficacy and stature of their compliance program. During this period, I fostered a strong culture of compliance within the company, while facilitating revenue growth. -
Svp & Deputy Cco – Enterprise Compliance | Vp – Enterprise ComplianceFidelity Investments 2003 - 2009Boston, Ma, UsOver a 5-year period, I was instrumental in the design and administration of mutual fund and investment adviser compliance programs pursuant to new SEC Rules 38a-1 under the Investment Company Act of 1940 and 206(4)-7 under the Investment Advisers Act of 1940, respectively. I also oversaw anti-money laundering and U.S. sanctions programs. In this role, I led a team up to 27 and managed relationships with regulators.The challenge was to establish an oversight program within a firm-wide, decentralized compliance model and I played an integral role in defining responsibilities, identifying leverage opportunities, and implementing the program. In addition to these duties, I served as Chairman of the broker-dealer practice area, providing leadership to Chief Compliance Officers of 5 registered broker-dealers and fostering a common approach to technology strategy, risk assessments, and best practice implementation.
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Vp, Head Of Personal Investments Compliance - Fidelity Brokerage CompanyFidelity Investments 2002 - 2003Boston, Ma, UsFollowing an organizational restructuring, I assumed accountability for the newly created Personal Investments division while continuing to serve as Chief Compliance Officer for Fidelity Brokerage Services LLC. In total, I provided leadership to a team of 28. The reorganization had largely transferred responsibility for compliance to the individual business units and this required me to develop the compliance and supervisory infrastructure to optimize customer experience and minimize risk.During this time, I was instrumental in the strategic expansion of the business model to include investment advice.
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Vp, Cco, Fidelity Brokerage Services Llc/National Financial Services Llc – Corporate ComplianceFidelity Investments 2000 - 2002Boston, Ma, UsAs Chief Compliance Officer for Fidelity Brokerage Services LLC and National Financial Services LLC, I led a team of 48 with accountability for retail brokerage, capital markets, correspondent clearing, brokerage operations, and an investment adviser. I also oversaw compliance programs for two mutual fund transfer agents and a broker-dealer responsible for wholesale mutual fund distribution as well as the marketing of services to retirement plan sponsors.In order to maximize productivity and results, I restructured the team to eliminate redundancies, thus cutting costs significantly while improving service and support.
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Vice President, Retail/Capital Markets Compliance – Corporate ComplianceFidelity Investments 1998 - 2000Boston, Ma, UsWhile managing compliance for the Capital Markets team (see below), I was asked to assume responsibility for retail brokerage compliance programs in addition to my prior duties. The retail brokerage business comprised 4,000 registered reps, 90 branch offices, five call centers, and a new online trading capability.Having assumed accountability, I revamped policies and procedures, and established clear roles and responsibilities for staff.
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Vice President, Capital Markets Compliance – Corporate ComplianceFidelity Investments 1997 - 1998Boston, Ma, UsI was hired to establish and lead the first formal compliance program for a rapidly growing division, subject to substantial new regulation (SEC Order-Handling Rules). I built a top-flight team, and established policies and systems of supervision and compliance oversight.
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Vp, Group Compliance Officer—Cross Border Finance Group | Avp, Compliance Officer | Compliance Mgr.Citibank, N.A. 1989 - 1997New York, New York, UsAs VP, Group Compliance Officer, I established and managed the compliance program for Citibank’s Emerging Markets Capital Markets and Corporate Finance activities conducted in New York and London. I had previously managed the information barrier ‘control room’ function, and supported several fixed income sales and trading desks in rotation. -
Compliance Surveillance AnalystPainewebber, Inc. 1988 - 1989
Joe Castro Skills
Joe Castro Education Details
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University Of DenverFinance
Frequently Asked Questions about Joe Castro
What company does Joe Castro work for?
Joe Castro works for Nuveen
What is Joe Castro's role at the current company?
Joe Castro's current role is Sr. Compliance Executive | Sr. Managing Director & Head of Compliance, Nuveen | Global Expertise | 20+ years’ experience.
What is Joe Castro's email address?
Joe Castro's email address is jo****@****fmr.com
What is Joe Castro's direct phone number?
Joe Castro's direct phone number is +186029*****
What schools did Joe Castro attend?
Joe Castro attended University Of Denver.
What skills is Joe Castro known for?
Joe Castro has skills like Compliance Strategy, Retail And Institutional Distribution, Capital Markets/trading, Ethics And Reputational Matters, Team Leadership, Asset Management, Strategic Planning, Board Relations, Retail Brokerage/private Client, Corresponding Clearing/operations, Global Regulation, Risk Assessment And Testing.
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