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
📌 Senior Analyst (Mumbai)
🏢 TIAA
📍 Mumbai