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- Chief Compliance Officer
About Joe Castro
Joe serves as the Chief Compliance Officer for Nuveen. He is a member of the Senior Leadership team and oversees all aspects of compliance for the firm, leading a global team of professionals responsible for developing and driving a comprehensive compliance program supporting all of Nuveen’s businesses.
Joe joined Nuveen in 2011 and since his arrival has played an instrumental role in guiding the firm through change, and establishing a robust compliance program that balances commercial objectives with strong risk management to deliver ongoing value to the business. Prior to Nuveen, Joe worked at Fidelity Investments, where he held various compliance leadership positions over a 14-year period. During that span he served as Head of Compliance for Fidelity’s retail brokerage, employer retirement services, wholesale fund distribution and the correspondent clearing and capital markets businesses, as well as Deputy CCO within their Enterprise Compliance group, during which he was instrumental in the design and implementation of Fidelity’s federally mandated compliance programs for investment companies and advisers. Prior to that, Joe also spent time with Citibank, where he held the position of Group Compliance Officer for emerging markets, capital markets and corporate finance activities in New York and London, among other roles.
Joe graduated with a B.S.B.A. in Finance from the University of Denver.