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.
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 Symphony’s 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 Symphony’s private funds and SMA clients, credit based strategies and CLO’s 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 Symphony’s 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.
Provide day-to-day Compliance support to the Symphony’s business, including:
Working with the Head of Affiliate Compliance to ensure that Symphony’s Compliance program incorporates that all require program elements while leveraging Compliance’s shared services at Nuveen and/or TIAA to maximize control efficienciesDeveloping and maintaining written compliance policies and procedures and establishing process for a documented annual review of such policiesReviewing, completing and maintaining the Annual Compliance Risk Assessment Drafting the Annual Compliance ReportsPreparing for and responding to regulatory inquiries and examinations as well as internal audit and other reviewsDesign, execute and as appropriate perform or coordinate all appropriate monitoring processes and protocols, including investment guidelines, limitations, emails transaction surveillance and allocations among othersOversight of and review of marketing materialsParticipating in investor due diligence meetings and operational due diligence that support the business’s goals including reviews and approvals of RFPs, etcDesign and generate recurring metrics for all key stakeholdersUtilization of Nuveen/TIAA issue management tracking systems to report potentially systemic issuesProviding 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 mattersProviding compliance specific trainings to employeesOversee and/or execute Symphony’s regulatory filings, such as Form ADV, Form PF and relevant internal and client certificationsProviding ongoing hands-on support and execution with respect to all critical ad-hoc compliance projects, as neededStaying abreast of ongoing regulatory developments and/or material regulatory changes in applicable law and regulationsKey contributor to Symphony’s and Nuveen’s Compliance Strategic Plan
Bachelor degree or higher in a related field10 years of related Compliance experience with strong knowledge of the Investment Adviser’s Act of 1940 and prior experience preferably as a CCO or Deputy CCOPrior regulatory experience with the SEC or FINRA is desiredExperience managing and training a small team Strong ownership mentality with exceptional resourcefulness and drive for results.Solution orientedKnowledge of credit instruments and products including CLO’s, loans, high yield, CDS and other derivativesMust be extremely organized, detail-oriented and have an analytical mindset with the ability to deliver key insights on complex compliance and business mattersExcellent oral and written communication skillsAbility to engage and work effectively with senior business management, parent company teams and staff in multiple locationsAbility to manage and effectively influence while providing advice and guidanceAbility to effectively prioritize work and manage multiple projects simultaneouslyExtremely strong work ethic, time management skills and the ability to work independently to produce deliverables on tight deadlines
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