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Associate - Sanctions Compliance (Legal)

3 months ago

Mumbai, Maharashtra, India Nuveen Full time
Compliance Associate
The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and Duties
  • Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies.
  • Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
  • Supports organization and implementation of compliance audits.
  • Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
  • Drafts reports on the results of compliance and ethics initiatives of the business unit.
  • Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
  • Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.
Educational Requirements
  • University (Degree) Preferred
Work Experience
  • 2+ Years Required; 3+ Years Preferred
Physical Requirements
  • Physical Requirements: Sedentary Work
Career Level
6IC
  • Job Profile SummaryJob Profile SummaryThe Compliance Senior Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. This job focuses the processes to identify, investigate, analyze, report, and resolve compliance risks. This job also is responsible for reviewing and updating applicable policy and procedure revisions.
  • Job DescriptionJob DescriptionCompliance Sr Associate - IN
    The Compliance Senior Associate supports broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. This job focuses the processes to identify, investigate, analyze, report, and resolve compliance risks. This job also is responsible for reviewing and updating applicable policy and procedure revisions.

    Key Responsibilities and Duties
    • Performs compliance risk assessments to identify compliance issues, concerns, and deficiencies.
    • Designs and implements corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
    • Implements preventative measures and compliance processes, while identifying opportunities to revise 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
  • IDID506855
Related SkillsAdaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

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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.

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