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Compliance Associate

3 months ago

Mumbai, Maharashtra, India Nuveen Full time
Compliance 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
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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