Joe Castro

Head of Compliance at Nuveen

Joe Castro is the Head of Compliance at Nuveen. Joe has over 20 years of experience in compliance and risk management.

Joe started their career in compliance at Citibank in 1989. Joe held various positions over their 8 years there, including VP of Group Compliance Officer and AVP of Compliance Officer. In 1997, they joined Fidelity Investments as SVP, Head of Capital Markets Compliance. Joe was instrumental in establishing a strong culture of compliance within the company and fostering revenue growth.

In 2011, Joe joined Nuveen as Head of Compliance. In this role, they are responsible for overseeing all aspects of compliance for the firm. Joe has been a key player in ensuring that Nuveen operates in a compliant manner and has helped the firm navigate through some challenging regulatory environments.

Joe Castro holds a BSBA from the University of Denver and has certification from in Series 7 and 24.

Joe Castro reports to Kevin J. McCarthy, Secretary & General Counsel.


  • Head of Compliance

    Current role

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