Associate - Compliance - Records Managament

2 months ago

Mumbai Maharashtra, India TIAA Full time

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:

- 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 mínimal. 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:
Business or Industry Knowledge:
Interactions / Interpersonal Skills:
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

Phone: (800) 842-2755

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