Regulatory Compliance Specialist

1 week ago

Mumbai, Maharashtra, India TIAA Full time
Job Summary:

The Regulatory Compliance Specialist will be responsible for supporting the firm's regulatory compliance program by facilitating compliance with US and non-US reporting obligations to regulatory bodies arising from Nuveen's ownership interest in equity and related securities. This role will involve daily monitoring, analysis, and processing of regulatory reports.

Main 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.

Key Requirements:
  • Bachelor's degree in Economics, Business, Finance, or other business-related emphasis.
  • 3-5 years of legal/compliance or audit experience within an investment advisory business.
  • 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).

Compensation:
$83,000 - $110,000 per year, depending on qualifications and experience.

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