Senior Associate - Compliance Officer

Key Responsibilities and Duties

Core Daily Equity Ownership Monitoring Responsibilities:

• Monitor and analyze enterprise-wide equity positions.
• Maintain daily reports and applications to monitor 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, and Federal Reserve TIC and other regulatory 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).

Educational Requirements

• University (Degree) Preferred

Work Experience

• 5+ Years Required; 7+ Years Preferred

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level
8IC

Area of Impact –

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. Expertise and proficiency are 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.

Required Skills:

Experience & Domain Knowledge:

• 5 - 7 years of experience in Regulatory Reporting or experience within investment advisory business
• Familiarity with compliance related activities and applicability of regulatory reporting requirements.
• Familiarity with SEC reporting obligations under Section 13 and Section 16 of the Exchange Act.
• Familiarity with non-U.S. jurisdiction regulatory reporting regimes

Technical Skills:

• Experience with OMS and Portfolio Accounting applications — Charles River Development (CRD), Bloomberg, and Factset
• Ability to retrieve and analyze data from equity holdings repositories, trade blotters, data warehouses, OMS, and accounting systems
• Advanced Excel proficiency (Microsoft Office Suite)
• Knowledge of securities data — Equity, Fixed Income, Convertible Bonds, Preferred Securities, Options, and Derivatives

Analytical & Communication Skills

• Superior ability to accumulate, organize, and analyze large volumes of data with attention to detail
• Excellent written and verbal communication skills
• Ability to present complex information clearly to varied audiences

Strong prioritization, quantitative, and problem-solving skills

Preferred Skills:

• Certification such as CAIA or CFA is beneficial
• Working knowledge of back-office operations is a plus

Experience working with ’40 Act Funds’, Institutional Clients, Managed Accounts and Private Funds preferred.

Shift Timings : 3.30pm to 12:30am

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, 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 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 Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

Our Culture of Impact

At TIAA, we're on a mission to build on our 100+ year legacy of delivering for our clients while evolving to meet tomorrow's challenges. We equip our associates with future-focused skills and AI tools that enable us to advance our mission. Together, we are fighting to ensure a more secure financial future for all and for generations to come. We are guided by our values: Champion Our People, Be Client Obsessed, Lead with Integrity, Own It, and Win As One. They influence every decision we make and how we work together to serve our clients every day. We thrive in a collaborative in-office environment where teams work across organizational boundaries with shared purpose, accelerating innovation and delivering meaningful results. Our workplace brings together TIAA and Nuveen's entrepreneurial spirit, where we work hard and work together to create lasting impact. Here, every associate can grow through meaningful learning experiences and development pathways—because when our people succeed, our impact on clients' lives grows stronger.

Accessibility Support

TIAA offers support for those who need assistance with our online application process to provide an equal employment opportunity to all job seekers, including individuals with disabilities.

If you are a U.S. applicant and desire a reasonable accommodation to complete a job application please use one of the below options to contact our accessibility support team:

Phone: (800) 842-2755

Email: [email protected]

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