Nuveen's Compliance Department provides world-class service, support, and advice to promote the Firm's growth and development while helping employees and the Firm meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.
The Core Compliance Services Team within Legal and Compliance creates, implements and oversees the firm-wide records management program, eDiscovery and production, and the eSurveillance programs, as well as the ongoing tracking and analysis of regulatory developments. In addition, the Privacy Office, Business Continuity Planning and Marketing Review Center functions are provided by this team.
This role is primarily focused on assisting with the implementation and maintenance of the enterprise wide records program as well as the eDiscovery and production program for Nuveen Investments. Initially approximately 80% of the job responsibilities will be focused on helping to support the Records Management program, and the balance divided between eDiscovery and serving as a back-up for the electronic communication monitoring function. The projects relating to eDiscovery are episodic in nature so the time spent in that regard will fluctuate as the need arises.
ESSENTIAL DUTIES AND RESPONSIBILITIES: The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.
•Assist with the creation and maintenance of the firm’s record retention schedule.
•Coordinate secure movements of physical records with various and provide training and follow up for firm personnel.
•Act as a resource to department record controllers within each business unit.
•Assist with the maintenance of the firm’s records management database system and process.
•Assist with the remediation of unstructured data with firm personnel and department record controller.
•Utilize Encase for litigation holds and document collection processing.
•Process documents for review using Law/Prediscovery or Encase.
•Prepare documents for review and production in Relativity.
•Provide ongoing training on eDiscovery procedures and on the use of eDiscovery software when necessary.
•Maintain records and prepare reports related to the use of eDiscovery services.
•Track expenses related to eDiscovery including cost savings realized by keeping projects in house.
•Identify opportunities for work flow improvements and propose changes to lower the cost and increase the efficiency of the records and Ediscovery management program.
•Keep abreast of changes in regulation and communicate the possible impact on the records and eDiscovery programs.
•Serve as a back-up to the team member primarily responsible for electronic communication monitoring activities, and periodically perform such monitoring.
•There are no supervisory responsibilities with this position.
QUALIFICATIONS: To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
EDUCATION and/or EXPERIENCE:
•Bachelor’s degree from an accredited four-year university, or equivalent work experience.
•3+ years of previous Compliance/Legal experience with a financial services firm is required, and experience with the practice of records management strongly desired.
•Familiarity with eDiscovery processes and software is a plus.
•Unless already proficient in the technology used by the team, must have the ability to quickly become expert in the use ofeDiscovery software including Relativity, LAW PreDiscovery, Encase, Concordance, Summation or other litigation document review software, as well as the electronic monitoring software used by Nuveen.
•Intermediate Microsoft Office Suite skills (Excel, Word, PowerPoint).
•Excellent communication skills (oral and written).
•Ability to work independently as well as in a team.
•Critical thinker who can creatively resolve issues.
•Demonstrate information management knowledge and technical skills.
•Demonstrates analytical and problem solving skills.
•Ability to work across multiple business units and with remote locations.
CERTIFICATES, LICENSES, REGISTRATIONS:
•Certified Records Manager or candidate
•Certified Information Professional or candidate.
•FINRA licenses a plus – e.g., Series 7 & 24
Nuveen Investments, LLC - 15 months ago