Mary Ann Iudice
MD, CCO, Nuveen - LA Shr Srvs, TGAM Nuveen Legal and Compliance

With significant experience in the financial service industry, including over 20 years as a Chief Compliance Officer, Mary Ann is a Managing Director at Nuveen.  She is CCO for Santa Barbara Asset Management, LLC (“SBAM”) and builds compliance programs for NWQ Investment Management Company, LLC  (“NWQ”), both Nuveen affiliates.  Additionally, Ms. Iudice renders compliance advice to Nuveen shared service employees supporting SBAM and NWQ.

Prior to joining Nuveen in July 2010, Ms. Iudice was Managing Director and CCO for the Fixed-Income, Cash and Currency Group of BNY Mellon Asset Management and charged with overseeing the compliance programs of multiple investment boutiques. Prior to this, Ms. Iudice was a Managing Director and CCO at Robeco Investment Management, Inc. and its Rotterdam-based affiliate, Robeco Institutional Asset Management USA Inc. Preceding this, Ms. Iudice was a partner at Boston Partners Asset Management, LLC and served as its CCO before the firm was acquired by Robeco. Ms. Iudice also has operations and administration experience, having served as a Vice President in this capacity for over six years at The Boston Company Asset Management, Inc.

Ms. Iudice received a B.S. in Business Administration, Summa Cum Laude, from Northeastern University, University College. She is Vice President of the Southern California Compliance Group and a member of the National Society of Compliance Professionals.  Ms. Iudice is an occasional speaker at industry conferences.


Vice-President Summary

It shall be the Vice President’s obligation to fulfill a one-year term, at the appointment of the President, undertaking the following:

Essential Duties & Responsibilities:

  • Assist the President with every aspect of SCCG, including membership efforts, directing and facilitating meetings in his/her absence and coordinating the business plan. Work closely with the President to “mirror” his/her leadership style.
  • In the absence of the Speaker’s Bureau Chair, oversee topic developments for each SCCG meeting, ensuring that each of our Members have an active voice and direct input into agenda items. Arrange for guest speakers (as needed or as requested by the Speaker’s Bureau Chair and President), and upon such request, provide suggestive topics for Open Forum discussion.
  • In the absence of the Membership Chair, manage all recruiting efforts, including spearheading Membership meetings, overseeing annual revisions to and printing of the SCCG Membership Application and accompanying brochure, provided ideas for membership initiatives and marketing efforts to increase membership.
  • Progress reports from the Vice President’s efforts to be delivered at each SCCG officer’s meeting or upon request by the President.
  • Assist with the organization of and participation at Membership Networking events. 


Must be a member in good standing of SCCG and be appointed by the President. Individual must perform the above essential duties satisfactorily and be willing to substitute for President, as required.

Skills & Abilities:

Ability to research and assess new industry rules and regulations

Should have a minimum of three to five years of compliance experience

Ability to work effectively in a dynamic environment

Strong written and verbal communications skills

Team player and self-motivated