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- Head of Compliance
Joe came to Nuveen from Fidelity Investments where he held several senior compliance roles over 14 years including, at various times, Chief Compliance Officer (CCO) for each of Fidelity’s four broker-dealers. Joe also served as senior vice president and Deputy CCO within Fidelity’s enterprise compliance group and was instrumental in the design and implementation of Fidelity’s programs covering federal securities laws. He also managed the firm-wide compliance programs for Anti-Money Laundering and U.S. Sanctions. Joe previously held roles at Citibank and PaineWebber, where he began his compliance career.
Joe graduated with a B.S.B.A. with a major in Finance from the University of Denver.