Compliance Advisor- e Monitoring

Compliance Associate
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

The Compliance Advisor will support Nuveen Compliance in the daily execution of Nuveen’s Global Electronic Communications Monitoring program, which provides monitoring services to various regulated Nuveen entities in accordance with regulatory requirements relating to the archival and supervision of employee communications.

Key Duties & Responsibilities:
The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.
- Perform extensive daily monitoring of electronic communications, generally in large volumes, to fulfill the standards of the Electronic Communications Monitoring program.
- Make recommendations to constantly improve the quality of the monitoring program by assessing the efficacy of the lexicon and other techniques that are utilized.
- Aggregate and analyze the results of monitoring, surveillance and testing of potential irregularities in partnership with the Compliance eMonitoring team and affiliate leaders.
- Provide support to the manager in partnering with key Compliance team members to provide on-going training and coaching opportunity to business partners.
- Assist in the preparation and delivery of metrics reporting to the Nuveen entities supported by the program, as well as participate in other ad hoc related Compliance projects.

Management/Leadership Responsibility:

- NA

Budget Responsibility:

- NA

Impact of Role
- Internal Business

Area of Impact - Own team, Business, Clients

Skills Required
- Must be extremely detail-oriented with a very inquisitive nature and possess sound judgement while operating with utmost integrity.
- Strong organizational and problem-solving skills along with the ability to conduct research utilizing a variety of resources. Must be comfortable issue spotting.
- Strong time management, analytical skills and ability to formulate, develop and execute strategic initiatives will be critical for success.
- Must have strong written and oral communication skills to interact effectively with business partners and colleagues.
- Comfortable in a high performance, fast paced, high-pressure environment and have exceptional partnering skills as teamwork and collaboration are highly valued.
- Exposure and experience in using risk and monitoring tools and techniques.

Functional Knowledge Required
- Experience in a financial services firm in a compliance monitoring function.
- Knowledge of US-based regulatory requirements.
- Experience with sampling techniques.
- Strong Microsoft Excel abilities.

Job Requirements And Qualifications:
Required Education:
BA/BS

Graduate ( Mandatory )

Preferred Education:
Masters

Required Experience:
1-3 years

Preferred Experience:
5-10 years

Overall

Hiring Preference

Shall be supporting US client, typically working hours:
(3 PM IST to 12 AM IST)

(3.30 AM CST to 11:30 AM CST)

Required Licenses/Certifications:
Other

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

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Company Overview

TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk b