Job Information
Nuveen Investments Associate - Compliance - Records Managament in Mumbai, India
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:
Responsible for identifying and resolving problems within established policies, guidelines or processes. Refers more complex problems to supervisors or other experts. Respond to and address requests for offsite storage of records; support compliance oversight of records retention and destruction; track records for destruction and destroyed and other Compliance Projects.
Key Duties & Responsibilities :
Monitor the records program email box related to offsite record storage requests and accurately and fully complete forms documenting the contents of boxes of records moving to a vendor for offsite storage
Perform record keeping and reporting related to the status of electronic records and records stored offsite and the disposition/destruction of those records
Support compliance monitoring related to records management
Reviewing and updating spreadsheets based on interface with lines of business, corporate functions, and legal partners
Establish relationships with Department Records Controllers and support the process for maintaining the records inventory
Support the process for maintaining the records schedule by researching relevant laws and regulations
Analyzing operational procedures, controls, transactions, documents and records and verifying compliance with regulations and defined policies and procedures
Assit in Enterprise Compliance programs implemented
Participate in Compliance special projects, as needed
Impact:
Nature of Impact - To what degree does this job affect the business (i.e., through interactions with customers, making decisions, defining or setting strategy, etc.)?
The employee will not interact with customers or make decisions related to strategy. The employee will interact primarily with his or her supervisor and with records contacts in the business and corporate functions.
Area of Impact - What is the breadth of the impact that this job has, either positive or negative (i.e., affects own team, department, function, business unit, geography, entire business, etc.)?
The employee will assist the record program within compliance – and advance the efforts of the lines of business and corporate functions to properly categorize records moving offsite for storage and reduce costs of storing those boxes longer than required.
Problem Solving :
The complexity is minimal. The employee will be completing forms following training about required fields. Some analytic skills required to complete forms, reply to questions, and document results on spreadhseets.
Functional Knowledge:
Knowledge of records management is ideal—including the concept that records can be printed or electronic and that some records must be retained for a certain period and destroyed following that period unless subject to a legal hold.
Business or Industry Knowledge:
Understanding of the types of records the company creates (we have annuity contracts, statements, confirmations, plus all the email and other records people create on a daily basis)
Interactions / Interpersonal Skills:
Interact within compliance and with a records representative assigned to support the lines of business and corporate functions. Most interation would be through email. Interactio by phone, video, and email with others working in Compliance’s records program. Under guidance of senior staff, may interact with middle management within the business area to resolve issues, gain needed information and make recommendations. Ability to exchange information related to records management.
Job Requirements And Qualifications :
Required Education:
Bachelor’s degree
Preferred Education:
Masters
Required Experience:
5-10 years
Skills and Abilities:
Word; Excel; PowerPoint, Exposure to analytical tools like Power BI, Tableau will be preffered
Related Skills
Adaptability, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Group Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting
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/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Accessibility Support
TIAA offers support for those who need assistance with our online 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 one of the below options to contact our accessibility support team:
Phone: (800) 842-2755
Email: accessibility.support@tiaa.org
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
TIAA started out over 100 years ago to help ensure teachers could retire with dignity. Today, many people who work at not-for-profits rely on our wide range of financial products and services to support and strengthen their financial well-being.
Privacy Notices
For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here (https://www.tiaa.org/public/tiaa-nuveen-privacy) .
For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here (https://www.tiaa.org/public/tiaa-nuveen-ca-privacy) .
For Applicants of Nuveen residing in Europe and APAC, please click here (https://www.tiaa.org/public/nuveen-eu-uk-privacy) .
Nondiscrimination & Equal Opportunity Employment
TIAA is committed to providing equal opportunity across all employment practices and we believe our employees have a right to a diverse and inclusive workplace.
EEO is the Law (https://assets.phenompeople.com/CareerConnectResources/TIAAGLOBAL/documents/22-088_EEOC_KnowYourRights-1688394514088.pdf)
Pay Transparency
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