Managing Director – Head of Equities & Compliance Technology and Front Office – Middle Office Transformation Full Time NEW

The Asset Management Application Development Leader manages a department or small unit that includes multiple teams led by Managers and/or Team Leaders that completes the analysis, programming and configuration of IT Systems Software. This job coaches team members on best methods of software development and operational goal setting. Working with the leadership team, this job provides team and project leadership for software development activities.

Key Responsibilities and Duties

• Manages performance of team through regular, timely feedback as well as the formal performance review process to ensure delivery of exceptional products and engagement, motivation and development of team.
• Defines scope and objectives for software development team goals.
• Reviews the configuration, customization, diagnosis and enhancements of the operating systems software.
• Communicates and implements the strategic direction of the operation.
• Approves the development and implementation of new products, processes and operational plans.
• Provides the highest level of advice and recommendations to maximize the outcomes of development investments.
• Interviews candidates for open roles within the team and provides recommendations throughout hiring process.
• Collaborate with IT partners to devise capacity plan and ensure appropriate infrastructure for the end to end system delivery.

Educational Requirements

• University (Degree) Preferred

Work Experience

• 8+ Years Required; 10+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
10PL

Managing Director – Head of Equities , Compliance Tech and Front Office – MOT

Position Overview

We are seeking an exceptional Managing Director to lead our Equities and Compliance Technology division, overseeing the strategic development and implementation of technology solutions that support front office research, portfolio management, and trading operations while ensuring comprehensive regulatory compliance.

Given the firm’s stewardship of over $5 5 0 billion in e quity and derivative assets under management, this Managing Director position represents a mission-critical leadership role essential to preserving operational excellence while driving strategic business advancement. The successful candidate will be instrumental in ensuring robust technological infrastructure that supports continued growth and competitive positioning for Nuveen .

The Managing Director will be accountable for technology solutions that directly impact investment performance, risk management, and client service delivery across this substantial asset base, making this role fundamental to the firm’s continued success and market leadership position.

Key Responsibilities of the Role

Strategic Leadership

Drive the technology strategy for equities trading, research, and compliance functions, aligning with business objectives and regulatory requirements. Lead cross-functional initiatives to enhance operational efficiency and maintain competitive advantage in rapidly evolving financial markets.

Technology Oversight

Oversee the architecture, development, and maintenance of mission-critical trading platforms, portfolio management systems, and research tools. Ensure seamless integration between front office applications and compliance monitoring systems to support real-time decision-making and risk management.

Compliance Integration

Partner closely with compliance and risk management teams to implement robust technological solutions that support Portfolio Compliance, regulatory reporting, trade surveillance, and audit requirements. Maintain expertise in evolving regulatory landscapes and translate requirements into actionable technology solutions.

Team Development

Build and mentor a high-performing technology team, fostering innovation while maintaining operational excellence. Collaborate with business stakeholders to translate complex trading and investment workflows into scalable technology solutions.

Required Qualifications

Financial Markets Knowledge

Comprehensive understanding of equity market’s structure , d erivatives , trading protocols, and settlement processes. Experience with multi-asset trading platforms and familiarity with regulatory frameworks including MiFID II, Reg NMS, and best execution requirements.

Technical Expertise

Deep understanding of front office research platforms, portfolio management applications, and electronic trading systems. Proven experience with order management systems, execution algorithms, and real-time market data platforms. Strong background in system integration, API development, and cloud-based financial technology solutions.

Core Require ments :

• Comprehensive system administration and technology integration proficiency with the Charles River Investment Management System (CRIMS) is essential for this position. Candidates must demonstrate extensive experience in enterprise-level CRIMS implementation, configuration, and ongoing operational management.

• Mastery of CRIMS core modules is required , including advanced proficiency in Compliance Manager, Manager Workbench, Trade Order Management, Position Blotter functionality, and comprehensive system administration capabilities. Understanding of workflow optimization, user access management, and performance tuning within the CRIMS environment is critical to role success.

• CRIMS Integration and Development Capabilities: Knowledge of Charles River API architecture and implementation : Candidates must possess proven experience in developing custom integrations, building automated workflows, and implementing data connectivity solutions that enhance system functionality and support complex institutional investment processes.

• Prior experience in middle office operations outsourcing partnerships with State Street . Hands – on experience representing Front office Tech and Charles River implementation with middle office outsourcing with Statestreet alpha.

Differentiator s :

• While equity market proficiency is fundamental to this role, candidates with demonstrated implementation and operational support experience across taxable fixed income asset classes will be strongly preferred. This multi-asset expertise represents a significant competitive differentiator and aligns with our integrated investment platform strategy.

• Apart from front facing the Equities and Compliance business lines, t his position encompasses comprehensive responsibility for the strategic development, implementation, and ongoing management of the Charles River Investment Management System (CRIMS) technology ecosystem, which serves as the foundational technology platform supporting both equity and taxable fixed income investment operations.

• Previous involvement in the implementation and optimization of Charles River Investment Book of Record (IBOR) functionality within State Street’s platform architecture constitutes a substantial differentiating qualification.

Leadership Background

Minimum 10 years of progressive leadership experience in financial technology, with at least 8 years in senior management roles overseeing trading technology or compliance systems. Proven track record of managing large-scale technology implementations and cross-functional project delivery.

Preferred Qualifications

Advanced degree in Finance, Computer Science, or related technical field. Experience with emerging technologies including artificial intelligence applications in trading and compliance monitoring.

Related Skills

Agile Methodology, Continuous Integration and Deployment, Data Analysis, Debugging, DevOps, Enterprise Application Integration, Operating Systems Management, Problem Solving, Programming, Software Development, Software Development Life Cycle, Web Application Development

Anticipated Posting End Date:
2026-04-28

Base Pay Range: $175,000/yr – $245,000/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 is a global investment leader, managing public and private assets for clients around the world and on behalf of TIAA, our parent company and one of the world’s largest institutional investors. We invest in the growth of businesses, real estate, infrastructure and natural capital, providing clients with the reliability, access and foresight unique to our heritage. Our prevailing perspective on the future drives our ambition to innovate and adapt our business to the changing needs of investors – all to pursue lasting performance for our clients, our communities and our global economy. Visit to learn more about us.

Our Culture of Impact

At TIAA, we’re on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow’s challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen’s entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways-because when our people succeed, our impact on clients’ lives grows stronger.

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 .

Equal Opportunity

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Our full EEO & Non-Discrimination statement is on our , and you can read more about your rights and view government notices .

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TIAA maintains a drug-free and smoke/free workplace.

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