Senior Analyst - Compliance

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

• 2–5 yrs of experience
• Compliance
• Due diligence
• Bloomberg
• PowerPoint
• BA