Senior Analyst - Compliance
MumbaiFull-time2–5 yrsPosted 3 weeks ago
Mid-level legal role at TIAA in Mumbai. Needs 2+ years and a BA.
About the role
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.
What you'll do
- 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…
- 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
What you need
- Compliance
- Due diligence
- Bloomberg
- PowerPoint