Sr Analyst - Compliance

Senior Analyst - Compliance (Monitoring, Surveillance Reporting)

The role assists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports.

Key Responsibilities

• Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected.
• Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs.

Educational Requirements

• University (Degree) Preferred

Work Experience

• No Experience Required

Physical Requirements

• Physical Requirements: Sedentary Work

Career Level

5IC

Position Summary

The position supports Nuveen Portfolio Compliance Team. The objective for the Portfolio Compliance Team is to reduce the risk associated with Portfolio Managers/traders investing of portfolios. This role focuses on working very closely with Portfolio Managers and traders to identify, investigate, and report compliance risks. This role may also require supporting, identifying and implementing efficiencies and technology that support Risk and Compliance processes.

Key Duties Responsibilities

The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.

• Perform Initial review of CRD (Charles River Development) system alerts and data exceptions generated in the overnight batch compliance process.
• Assists with performing all phases of portfolio compliance monitoring.
• Portfolio set-up, maintenance and portfolio closings in CRD and other tracking tools.
• Generation of queries/reports, including a review of those for reasonability and further summarization
• Work closely with State side stakeholders including traders and PMs to resolve queries in tight deadlines.
• Supports efforts to identify and implement efficiencies and technology enhancements, such as automation and robotics, to support Compliance processes. Liaises with Compliance and IT teams as needed.

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 portfolio compliance monitoring function.
• Knowledge of US-based regulatory requirements for financial firms would be added advantage.
• Working knowledge of CRD system.
• Experience in Bloomberg and Bloomberg AIM modules.
• Strong Microsoft Office skills (Powerpoint, Word and Excel / pivot tables)

Job Requirements And Qualifications

• Required Education: BA/BS
• Graduate ( Mandatory )
• Preferred Education: Masters
• Required Experience: 2-5 years
• Portfolio Compliance
• Hiring Preference: Shall be supporting US client, typically working hours : (5:30 PM IST to 2:30 AM IST)

Related Skills

Adaptability, Automation, Business Acumen, Compliance Program Management, Critical Thinking, Detail-Oriented, Due Diligence, Influence, Innovation, Relationship Management, Risk Monitoring, Strategic Thinking