Senior Analyst - Compliance

Senior Analyst - Compliance (Monitoring, Surveillance & Reporting)

The role assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports.

Key Responsibilities and Duties

• Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected.

• Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs.

Educational Requirements

• University (Degree) Preferred

Work Experience

• No Experience Required

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

5IC

 

• Position Summary:

 

The position supports Nuveen Portfolio Compliance Team. The objective for the Portfolio Compliance Team is to reduce the risk associated with Portfolio Managers/traders investing of portfolios. This role focuses on working very closely with Portfolio Managers and traders to identify, investigate, and report compliance risks. This role may also require supporting, identifying and implementing efficiencies and technology that support Risk and Compliance processes.

 

• Key Duties & Responsibilities:

The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.

• Perform Initial review of CRD (Charles River Development) system alerts and data exceptions generated in the overnight batch compliance process.
• Assists with performing all phases of portfolio compliance monitoring.
• Portfolio set-up, maintenance and portfolio closings in CRD and other tracking tools.
• Generation of queries/reports, including a review of those for reasonability and further summarization
• Work closely with State side stakeholders including traders and PMs to resolve queries in tight deadlines.
• Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected.
• Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs.
• Supports efforts to identify and implement efficiencies and technology enhancements, such as automation and robotics, to support Compliance processes. Liaises with Compliance and IT teams as needed.

 

Skills Required

• Must be extremely detail-oriented with a very inquisitive nature, and possess sound judgement while operating with utmost integrity.
• Strong organizational and problem-solving skills along with the ability to conduct research utilizing a variety of resources. Must be comfortable issue spotting.
• Strong time management, analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.
• Must have strong written and oral communication skills to interact effectively with business partners and colleagues.
• Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.
• Exposure and experience in using risk and monitoring tools and techniques.

 

Functional Knowledge Required

• Experience in a financial services firm in portfolio compliance monitoring function.
• Knowledge of US-based regulatory requirements for financial firms would be added advantage.
• Working knowledge of CRD system.
• Experience in Bloomberg and Bloomberg AIM modules.
• Strong Microsoft Office skills (Powerpoint, Word and Excel / pivot tables)

 

• Job Requirements And Qualifications: Required Education:

BA/BS

Graduate ( Mandatory )

• Preferred Education:

Masters

Bonus

• Required Experience:

2-5 years

Portfolio Compliance

Hiring Preference

Shall be supporting US client, typically working hours :

(5:30 PM IST to 2:30 AM IST)

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking_____________________________________________________________________________________________________

Company Overview

TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA Global Capabilities is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.

 
Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Our Culture of Impact

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come

• We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.

Accessibility Support

TIAA offers support for those who need assistance with our application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use of the below options to contact our accessibility support team: 

Phone: (800) 842-2755

Email: mailto:[email protected] [email protected]

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click https://www.tiaa.org/public/tiaa-nuveen-privacy here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click https://www.tiaa.org/public/tiaa-nuveen-ca-privacy here.

For Applicants of TIAA Global Capabilities, click https://www.tiaa.org/public/support/privacy/tiaa-global-capabilities-privacy-notice here.

For Applicants of Nuveen residing in Europe and APAC, please click https://www.tiaa.org/public/nuveen-eu-uk-privacy here.