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Compliance Associate
2 months ago
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
Position Summary: Describe below the primary purpose and function of this job
As a member of the Compliance Regulatory Reporting (CRR) Team, the associate will be dedicated to supporting the firm’s regulatory compliance program. Specifically, the associate will facilitate compliance with US and non-US reporting obligations to regulatory bodies arising from Nuveen’s ownership interest in equity and related securities, through reporting/filings with various regulatory bodies, issuers and/or markets. The position will enable reporting by: monitoring enterprise-wide restricted and watch lists, administering equity ownership thresholds per issuer, and compiling ad hoc ownership reports. The associate is expected to develop knowledge of internal policies & procedures and regulatory reporting requirements. The focus of this position will be daily monitoring, analysis and processing of regulatory reports.
Key Duties & Responsibilities : List up to 5 key duties and responsibilities, management responsibilities and time spent (if applicable)
Core Daily Equity Ownership Monitoring Responsibilities:
Monitor and analyze enterprise-wide equity positions. Maintain internal “Foreign Hot List” of reportable positions. Determine holdings database data integrity and interface with IT and data management as necessary to resolve data issues. Document and monitor data exceptions. Gather data to prepare Ad Hoc Non-U.S. Large Shareholder disclosures. Monitor affiliate intra-day trading activity in reportable securities. Monitor and update daily UK and Irish Takeover Panel Disclosure Lists and associated daily trading. Conduct analyses on issuer poison pills, regulated industries and state statutes. Develop and maintain various holdings data spreadsheets and present to leadership for internal review. Review holdings on restriction/limited capacity reports. Assist leadership with special projects. Gather data to provide timely and accurate research for escalated exceptions to the OMR manager.Regulatory Reporting:
Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures: Non US Large Shareholder Disclosures, Schedule 13D/G filings, Form 13F filings, Form 13H filings, CFTC/NFA, Form PF, Form N-PX and Federal Reserve TIC filings. Maintain an up-to-date foreign regulations and industry rules matrix.General Compliance Responsibilities
Accurate and timely completion of reports, projects and initiatives as required. (large shareholder disclosures) Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests (internal and external clients).Management/Leadership Responsibility: Is management of people a primary focus of the role? If so, how many direct and indirect employees are managed? Do any of them manage a function or process?
None
Budget Responsibility: Does the position have responsibility for Revenue, Operating (expense) Budget, etc.? If so, what is the scope?
None
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.)?
This position plays a key role in order for Nuveen to fulfill its regulatory responsibilities in various jurisdictions in relation to its ownership interest in equity and related securities, and the failure to do so can result in Nuveen incurring a fine or other of form of penalty by a regulatory body. The team member will be an integral part of Nuveen Compliance Shared Services – Compliance Regulatory Reporting (CRR) team.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.)?
This position is a part of a three-person team that serves the entire Nuveen Enterprise. Expertise and proficiency is relied upon by multiple affiliates. Lack of appropriate coverage in this area will negatively affect the business financially, operationally and present significant regulatory and reputational risk.Problem Solving : What is nature and complexity of the problems or decisions encountered? Are analytical skills needed?
Working knowledge of back office operations a plus. Ability to manage multiple tasks and responsibilities simultaneously and prioritize to meet stringent reporting deadlines.Functional Knowledge: What knowledge of concepts, process, principles or procedures is needed within discipline; SME?
Advanced Excel expertise is necessary. Familiarity with compliance related activities and applicability of regulatory reporting requirements. Ability to retrieve and analyze data from equity holdings repositories, trade blotter, Nuveen Data Warehouse, OMS and Accounting Systems is critical.Business or Industry Knowledge: Describe the degree of knowledge and understanding required of TIAA’s business and industry, commercial environment and of competitors’ products and services.
Experience with various OMS, Portfolio Accounting applications: Charles River Development (CRD), Bloomberg, and Factset. Familiarity with SEC reporting obligations under Section 13 and Section 16 of the Exchange Act. Experience working with ’40 Act Funds, Institutional Clients, Managed Accounts and Private Funds preferred. Familiarity with Non-U.S. jurisdiction regulatory reporting regimes.The above description is not intended to be an all-inclusive list of the duties and responsibilities of the position nor are the qualifications intended to be a listing of all skills and abilities required to do the job. The descriptions are intended only to give a general overview of the position.
Interactions / Interpersonal Skills: Describe the nature and level of interactions this job has with others, both internally and externally. Explain any specific interpersonal skills necessary to successfully perform this role (i.e., negotiation skills, represents business at external events or to governmental bodies, etc.).
Ability to present complex information in a professional and easy to understand manner through written materials or oral presentations for a wide variety of audiences. The position requires interaction with Data Management, affiliate Chief Compliance Officers, Portfolio Compliance, Portfolio Managers, Legal and Operations personnel. The associate will be expected to develop credibility and solid working relationships with such personnel.
Job Requirements And Qualifications : Indicate the minimum and preferred education and experience for the job and any licenses and certifications required
Required Education:
BA/BS
Economics, Business, Finance or other business-related emphasis.
Preferred Education:
BA/BS
Degree in Economics, Business, Finance or other business-related emphasis.
Required Experience:
3-5 years
Legal/compliance or audit experience within investment advisory business.
Preferred Experience:
5-7 years
Skills and Abilities:
Superior ability to accumulate, organize, assimilate, and analyze large amounts of data with attention to detail; Excellent written and verbal communication skills; ability to articulate findings thoroughly, yet concisely; Solid analytical and computer skills with a high level of proficiency in Microsoft Office Suite specifically in Excel; Knowledge of securities data required (e.g. Equity, Fixed Income, Convertible Bonds, Preferreds, Options and Derivatives); Demonstrated teamwork balanced with the ability to direct independent work and manage multiple projects at one time while meeting rigorous deadlines; Familiarity with trading systems, such as Charles River, Factset, Bloomberg; Strong prioritization, quantitative, problem-solving skills; and Ability to condense, refine, simplify, and communicate information to multiple audiences. Related SkillsAdaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking_____________________________________________________________________________________________________
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.
