Director, Associate General Counsel (Marketing & Communications Experience)

- Senior

Charlotte, NC

Securities, Commodity Contracts, and Other Financial Investments and Related Activities

About the position

The Director, Associate General Counsel will join a team responsible for providing legal advice and strategic guidance for TIAA's marketing and communications and client experience solutions, including developing TIAA and Nuveen B2B and B2C mail and digital (web and mobile) marketing materials and campaigns, supporting brand initiatives, advising on digital client experience and design matters, and providing guidance on internal and external communications. This role would focus on the review of materials related to TIAA and Nuveen products and services, including annuities, mutual funds, managed accounts, and the development of digital tools and financial wellness solutions that will aim to help more Americans secure their futures in retirement. The attorney will engage with business partners, technology teams and work closely with risk and compliance to ensure that the marketing and client experience strategies are driven in accordance with all relevant laws, and regulations, including those enforced by FINRA, the SEC, DOL and NYSDFS and other state insurance regulators.

Responsibilities

• Perform legal reviews of marketing, client communications and digital experiences.
• Provide legal advice and guidance to senior management and other business partners to help achieve and advance business objectives, including support for all aspects of marketing and communications, brand, digital experience and design, educational tools and calculators, and financial wellness solutions.
• Identify and analyze legal issues and effectively communicate with business partners and other stakeholders, including providing clear and concise summaries of legal positions and recommendations for compliance with marketing and distribution rules and other regulations applicable to marketing and educational solutions.
• Draft and negotiate key agreements and vendor contracts.
• Collaborate with TIAA's and Nuveen's Broker-Dealer, Marketing, Insurance, Privacy, ERISA, Compliance and Risk teams, TIAA India, and other key partners on new laws and regulatory developments, including those applicable to marketing, communications, digital experiences, educational tools and other financial wellness solutions.
• Effectively manage outside counsel.
• Handle other day-to-day legal issues in support of this critical and fast-paced area of the enterprise.

Requirements

• Doctoral Degree Law Required and member in good standing of State Bar.
• 5+ Years of experience as counsel in a major law firm or in-house legal department, with in-depth knowledge of the broker-dealer laws, rules and regulations governing marketing and communications, and the offering of digital tools, calculators and other financial wellness and educational solutions.

Nice-to-haves

• 7+ years of experience in broker-dealer related legal work for a major law firm or in-house legal department supporting marketing and communications, client-facing digital tools and client experiences, and education and financial wellness solutions.
• In-depth knowledge of legal issues and requirements impacting broker-dealers with respect to marketing and brand campaigns, and the offer of digital solutions and experiences for all financial wellness needs.
• Knowledge of ERISA (fiduciary advice and plan data matters), insurance (annuities), and/or the retirement industry is strongly preferred.
• General understanding of privacy, information security, and related requirements.
• Strong communication and writing skills.
• Strong interpersonal skills.

Benefits

• Comprehensive Total Rewards package designed to make a positive difference in the lives of associates and their loved ones.
• Superior retirement program.
• Highly competitive health, wellness and work life offerings.