Associate - Risk & Oversight

The Senior Specialist - Nuveen Client Services conducts operational activities for the investment function, supporting the management of capital on behalf of pensions, endowments, corporate plan sponsors, and other institutional investors. Working under limited supervision, this job executes various operational processes pertinent to trade processing, settlements, securities transfer and record maintenance.

Key Responsibilities and Duties
- Executes asset management operational processes including trade processing, settlements, and securities transfers, ensuring quality, accuracy and completeness.
- Researches complex investment account issues and resolves escalated issues.
- Participates in process improvement initiatives to improve operational efficiency, communicating recommendations for further process improvement opportunities to management team.
- Reviews financial statements and performance reports before they are distributed to investors.
- Communicates with legal counsel and outside auditors on filings, examinations, reporting, and other related tasks as needed.
- Ensures compliance with investment restrictions, laws, Securities & Exchange Commission (SEC), tax codes, and other corporate and regulatory policies when performing operational processes.

Educational Requirements
- University (Degree) Preferred

Work Experience
- 3+ Years Required; 5+ Years Preferred

Physical Requirements
- Physical Requirements: Sedentary Work

Career Level

7IC

Functional Responsibilities:

- Responsibilities will generally be performed 6-10 AM ET US time.
- Oversight of reporting cash available to front office
- Oversight of foreign exchange execution through 3rd party vendors
- Oversight of securities lending programs through lending agent
- Front office reporting and oversight

Job Requirements And Qualifications:
Required Education:
Bachelor’s Degree

Finance, Accounting, Business

Required Experience:
6-8 years
- Undergraduate degree in Accounting, Business or Finance with at least 1 to 3 years of experience in investment management or financial services operations
- Must possess a working knowledge of investment instruments, i.e., Fixed Income, Equities, Derivatives, Foreign Exchange, Securities Lending, etc.
- Ideally have general understanding of securities processes, i.e., Corporate Actions, Trade Operations/Settlements, and Reconciliation

Skills and Abilities:
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required.
- Solid problem solving skills and demonstrated ability to take initiative and critically analyze processes and procedures
- Detail oriented and extremely thorough - having the confidence to ensure work processes are completed accurately
- Excellent written and verbal communication skills
- Advanced proficiency in using Microsoft Office suite of products (particularly Excel)
- Experience at working both independently and in a team-oriented, collaborative environment
- Ability to effectively prioritize and execute tasks in a high-pressure environment
- Desire to drive process improvement initiatives within the business to gain efficiencies and reduce costs as well as mitigating risk
- Customer service skills are essential

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Company Overview

TIAA GBS India 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 GBS India 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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Phone: (800) 842-2755

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