Current jobs related to Compliance Associate - Mumbai, Maharashtra - Nuveen

  • Compliance Associate

    3 days ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    DescriptionPrimary Responsibilities and Key DeliverablesThe Compliance Associate will be responsible for supporting the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. Key responsibilities include responding to inquiries related to gifts & entertainment, screening lists of invitees to...

  • Compliance Associate

    3 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will play a significant role in the execution and supervision of the Investor KYC Process in line with AML-CTF Program requirements. This includes reviewing and analyzing investor KYC documentation and screening results, as well as involvement in investor KYC remediation in accordance with relevant jurisdictional...

  • Compliance Associate

    3 weeks ago

    Mumbai, Maharashtra, India TIAA Full time

    Job Title: Compliance AssociateJoin TIAA Global Capabilities as a Compliance Associate and contribute to the success of our organization by ensuring compliance with regulatory requirements and internal policies.Key Responsibilities:Support compliance risk assessments to identify compliance issues, concerns, and deficiencies.Assist with investigations in...

  • Compliance Associate

    1 week ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. This role will also involve responding to inquiries related to gifts and entertainment, and screening lists of invitees to Ares-sponsored events.Key ResponsibilitiesSupport the administration...

  • Compliance Associate

    6 days ago

    Mumbai, Maharashtra, India TIAA Full time

    Job DescriptionAs a member of the Compliance Regulatory Reporting (CRR) Team at TIAA, the Compliance Associate will play a key role in supporting the firm's regulatory compliance program.ResponsibilitiesMonitor and analyze enterprise-wide equity positions.Maintain internal 'Foreign Hot List' of reportable positions.Determine holdings database data integrity...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India Third Bridge Full time

    Compliance Associate Job DescriptionThird Bridge is seeking a highly organized and detail-oriented Compliance Associate to join our Third Bridge Connections Compliance team in Mumbai. As a key member of our compliance team, you will play a crucial role in ensuring the company's compliance with internal policies, client-specific processes, and applicable...

  • Compliance Associate

    3 days ago

    Mumbai, Maharashtra, India TIAA Full time

    Job SummaryThe Compliance Associate will be responsible for supporting the firm's regulatory compliance program. This includes facilitating compliance with US and non-US reporting obligations to regulatory bodies arising from Nuveen's ownership interest in equity and related securities. The Compliance Associate will monitor enterprise-wide restricted and...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India TIAA Full time

    Job Title: Compliance AssociateAs a Compliance Associate at TIAA, you will play a critical role in supporting the firm's regulatory compliance program. Your primary responsibility will be to facilitate compliance with US and non-US reporting obligations to regulatory bodies arising from Nuveen's ownership interest in equity and related securities.Key...

  • Compliance Associate

    3 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryAres Management Corporation is seeking a highly motivated and detail-oriented Compliance Associate to join our team. As a key member of our Compliance department, you will play a critical role in supporting the administration of our Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies.Key...

  • Compliance Associate

    2 days ago

    Mumbai, Maharashtra, India Vivriti Capital Full time

    Key Responsibilities:As a Compliance Associate at Vivriti Capital, you will be responsible for ensuring compliance with Companies Act and RBI regulations for all group companies. This includes monitoring changes in statutes and ensuring timely regulatory filings and applications.Key Performance Indicators:Compliance with regulatory requirementsTimely...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryAres Management Corporation is seeking a highly motivated and detail-oriented Compliance Associate to join our team. As a key member of our Compliance program, you will play a critical role in supporting the administration of our Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies.Key...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. This role will also involve responding to inquiries related to gifts & entertainment, and screening lists of invitees to Ares-sponsored events.Key ResponsibilitiesSupport the administering of...

  • Compliance Associate

    6 days ago

    Mumbai, Maharashtra, India Beacon trusteeship limited Full time

    Job SummaryWe are seeking a talented Compliance Associate to join our team at Beacon Trusteeship Limited.Key ResponsibilitiesPrepare a compliance list required as per transactionsFollow-up and monitor pre and post compliance and covenants periodicallyWork on general compliance activities of the trustee transactionsPrepare and review various SEBI regulatory...

  • Compliance Associate

    1 week ago

    Mumbai, Maharashtra, India TIAA Full time

    Job Summary: We are seeking a highly skilled Compliance Associate to join our team at TIAA. The successful candidate will be responsible for assisting with the development and implementation of compliance programs, ensuring that all relevant laws, regulations, and policies are adhered to. This role will involve working closely with the Compliance Regulatory...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will play a significant role in the execution and supervision of the Investor KYC Process in line with AML-CTF Program requirements. This includes reviewing and analyzing investor KYC documentation and screening results, as well as participating in investor KYC remediation in accordance with relevant jurisdictional...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India TIAA Full time

    Job Summary: We are seeking a highly skilled Compliance Associate to join our team at TIAA. The successful candidate will be responsible for assisting with the development and implementation of compliance programs, ensuring that all relevant laws, regulations, and policies are adhered to. This role will involve working closely with various stakeholders,...

  • Compliance Associate

    1 week ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. This role will also involve responding to inquiries, processing and escalating matters, and supporting the onboarding and offboarding of employees.Key ResponsibilitiesSupport the...

  • Compliance Associate

    2 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryWe are seeking a highly motivated and detail-oriented Compliance Associate to join our team at Ares Management Corporation. The successful candidate will be responsible for supporting the administration of our Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies.Key ResponsibilitiesSupport the...

  • Associate - Compliance Specialist

    6 days ago

    Mumbai, Maharashtra, India RBC Capital Markets, LLC Full time

    Job Title: Associate - Compliance SpecialistJob Description:We are seeking a highly skilled Associate - Compliance Specialist to join our team at RBC Capital Markets, LLC. As a key member of our compliance team, you will play a critical role in ensuring that our business operations are in compliance with relevant laws, regulations, and internal policies.Key...

  • Compliance Associate

    3 weeks ago

    Mumbai, Maharashtra, India Ares Management Corporation Full time

    Job SummaryThe Compliance Associate will support the administration of Corporate Compliance policies, including Code of Ethics and Conduct and Anti-Corruption policies. This role will also involve responding to inquiries, processing and escalating Code of Conduct and Anti-Corruption matters, and supporting the onboarding and offboarding of new employees.Key...

Compliance Associate

3 months ago

Mumbai, Maharashtra, India Nuveen Full time
Specialist - 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
  • 3+ Years Required; 5+ Years Preferred
Physical Requirements
  • Physical Requirements: Sedentary Work
Career Level
7IC

Position Summary:

The position primarily supports activities related to the Rule compliance programs for Nuveen investment affiliates Teachers Advisors ("TAL"), TIAA-CREF Investment Management ("TCIM") and Nuveen Asset Management ("NAM") (together "NEFI"). The primary purpose of the position will be support related to TAL client due diligence questionnaires, NEFI pay-to-play client certification outreach, and NEFI KYC inquiries. The position will also serve as a relief resource for other Nuveen Compliance associates on the Equity Compliance team, in particular proxy monitoring and Value-Add Investor ("VAI") monitoring.

Key Duties & Responsibilities:

  • Disclosures: Serve as process owner/SME for providing complete, accurate and timely responses to client
  • Due Diligence Questionnaires ("DDQs"), Requests for Proposals ("RFPs"), and Know Your Client ("KYC") inquiries from equities trading counter parties.
  • Compliance surveillance and monitoring: Obtain pay-to-play client certifications to ensure compliance with regulatory requirements. Serve as a secondary resource for proxy monitoring and value-add investor monitoring compliance programs.
  • Business line compliance support:
  • Develop, document, and maintain a process supporting complete, accurate and timely responses to client DDQs, RFPs, and KYC inquiries.
  • Identify opportunities to improve communications with TIAA and Nuveen business partners supporting client DDQs, RFPs and KYC inquiries.
  • Conduct policies and procedures maintenance and reviews.
  • Conduct new hire training and other targeted trainings for new TAL associates.
  • Reporting: Maintain and provide reporting of various compliance metrics for senior management.

Management/Leadership Responsibility:

The position does not entail the management of other associates.

Budget Responsibility:

The position does not have responsibility for Revenue or Operating Budgets

Impact of Role:

Internal Business -

  • This role directly and substantially impacts internal business partners as the position requires continual interaction with various constituents across TIAA and Nuveen.
  • As process owner/SME for client DDQs, RFPs, KYC inquiries, and pay-to-play certifications, this position is deemed to be "client facing." Providing incomplete, inaccurate or untimely responses would reflect poorly on Nuveen and has potential regulatory impact.

Area of Impact –

  • There is direct, positive impact to clients, TIAA and Nuveen business partners, and our own team. There is indirect, positive impact to the Nuveen Compliance Department.

Skills Required:

  • The nature of the position requires the accurate assessment that responses provided by TIAA and Nuveen business partners for DDQs, RFPs, or KYC inquiries is complete and accurate.
  • The process owner/SME requires good business judgement, informed by their functional knowledge, to determine completeness and accuracy and when diplomatic follow up is necessary.

Functional Knowledge:

  • Concepts and principles: Prior equities compliance experience is required. The process owner/SME hired for this position will be expected to understand and accurately articulate the key concepts and principles of the Investment Advisers Act of 1940 and the related industry-standard processes to determine if RFP supporting Rule compliance programs.
  • Processes and procedures: The process owner/SME in this position will receive training on all aspects of their daily work responsibilities and related processes/procedures within the bounds of the compliance program. Nonetheless, the process owner/SME will be responsible for their continuing education about changes to the compliance program, changes in regulatory landscape and changes in business procedures and processes which would impact client DDQs, RFPs, KYC inquiries, associate training.
  • Knowledge of Nuveen's overall business would complement candidate's functional knowledge of NEFI when assessing the accuracy and completeness of client DDQs, RFPs, and KYC inquiries.
  • Excellent communication and interpersonal skills, both verbal and written, are required. The process owner/SME is required to confirm and/or clarify client DDQ responses under strict deadlines across the TIAA/Nuveen enterprise on a monthly, quarterly, annual or ad hoc basis. The ability to inspire confidence among business partners through clear and concise diplomatic communication requests precluding protracted discussions, either verbal or written, is paramount to being successful in this role.

Job Requirements And Qualifications:

Required Education:

Graduate/ CA/ CS

Graduate Mandatory

Preferred Education:

Masters

Bonus

Required Experience:

5-7 years

Investment adviser compliance experience

Preferred Experience:

5-7 years

Knowledge of Asset Management

Skills and Abilities:

Critical skills include: i) organizational skills, ii) attention to detail, iii) the ability to manage concurrent deadlines, v) the ability to compose clear, concise emails and vi) analytical thinking

Hiring Preference

Shall be supporting US client, typically working hours :

(3.30 PM IST to 12:30 AM IST)

Required Licenses/Certifications:

None

Related SkillsAdaptability, 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:

Email:

Privacy Notices

For Applicants of TIAA, Nuveen and Affiliates residing in US (other than California), click here.

For Applicants of TIAA, Nuveen and Affiliates residing in California, please click here.

For Applicants of Nuveen residing in Europe and APAC, please click here.