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Associate - Compliance
1 month ago
Compliance Associate (Monitoring, Surveillance & Reporting) - India
The role involves assisting with various phases of compliance monitoring and surveillance activities, such as data collection, defining scope, documenting risks and controls, creating scripts, analyzing findings, tracking issues, and preparing reports.
Main Responsibilities and Tasks
- Oversee, plan, design, and execute corrective action plans for resolving compliance issues and ensuring corrections are made.
- Identify and implement preventive measures, compliance procedures, updated policies to enhance the overall efficiency of business unit compliance programs.
Educational Qualifications
- Preferably University Degree
Experience
- Mandatory 2+ Years; Preferably 3+ Years
Physical Requirements
- Physical Demands: Sedentary Work
Career Level
6IC
Related Skills
Flexibility, Teamwork, Effective Communication, Compliance, Conflict Resolution, Attention to Detail, Risk Management, Problem-solving, Client Relations, Risk Mitigation, Risk Assessment
About the Company
TIAA Global Capabilities, established in 2016, aims to leverage a vast pool of talent, mitigate risk by insourcing crucial platforms, foster innovation by enhancing technology. Focused on building a scalable and sustainable organization with emphasis on technology, operations, and shared services expansion.
Collaborating with U.S. counterparts and other stakeholders, the objective is to reduce risk, enhance tech efficiency, devise innovative solutions to boost productivity.
We are an Equal Opportunity/Affirmative Action Employer. All qualified applicants are considered for employment irrespective of age, race, nationality, gender, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.
Support for Accessibility
TIAA provides assistance for those needing support in the online application process to ensure equal employment opportunities, including individuals with disabilities.
If you are a U.S. applicant requiring accommodations to complete an application, please reach out to our accessibility support team.
Privacy Policy
For Applicants of TIAA, Nuveen and Affiliates residing in US (excluding California), refer here.
For Applicants of TIAA, Nuveen and Affiliates residing in California, find details here.
For Applicants of Nuveen in Europe and APAC, refer here.
For Applicants of Greenwood in Brazil (in English), click here.
For Applicants of Greenwood in Brazil (in Portuguese), click here.
For Applicants of Westchester in Brazil (in English), click here.
For Applicants of Westchester in Brazil (in Portuguese), click here.
TIAA was founded over a century ago with a mission to support teachers' retirement security. Today, our financial products assist many nonprofit workers in fortifying their financial well-being.
Privacy Policy
- For Applicants of TIAA, Nuveen and Affiliates in US (excluding California), access here.
- For Applicants of TIAA, Nuveen and Affiliates in California, details available here.
- For Applicants of Nuveen in Europe and APAC, please see this link.
- For Applicants of Greenwood in Brazil (in English), click here.
- For Applicants of Greenwood in Brazil (in Portuguese), click here.
- For Applicants of Westchester in Brazil (in English), click here.
- For Applicants of Westchester in Brazil (in Portuguese), click here.
Non-Discrimination & Equal Opportunity Employment
TIAA upholds equal opportunity in all employment practices, fostering a diverse and inclusive workplace for our staff.
EEO Legal Information
Transparent Pay Practices
Philadelphia Employment Law
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