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All companies + Hiring difference makers. ☰ Compliance Advisor eMonitoring NewNuveen3 days agoPost DateApply for JobShare this Job
Nuveen, the investment manager of TIAA, offers a comprehensive range of outcome-focused investment solutions designed to secure the long-term financial goals of institutional and individual investors. Its affiliates offer deep expertise across a comprehensive range of traditional and alternative investments through a wide array of vehicles and customized strategies.
The Nuveen Compliance eMonitoring team provides centralized support in regard to the retention framework and review of electronic correspondence, in accordance with regulatory requirements and the Nuveen Electronic Communications Policy. With the continued advancements in technology, email, instant messages, text messages, and Social Media posts are all now common forms of communication in the financial services industry. The Compliance Advisor will assist the team in the daily execution of the eMonitoring program to help ensure the firm can continue to meet its regulatory obligations to properly retain and monitor all forms of firm electronic correspondence.
KEY RESPONSIBILITIES AND DUTIES:
Perform extensive daily monitoring of communications, generally in large volumes, to fulfill the standards of the Electronic Communications Monitoring program. Exercise sound judgment and follow protocol to determine whether alerts are potential policy violations or benign, and document in the system accordingly.
Make recommendations to constantly improve the quality of the monitoring program by assessing the efficacy of the lexicon and other techniques that are utilized.
Assist in the design, and generate regular reporting and metrics to key stakeholders including local Compliance management, affiliate partners, and various governance bodies.
Aggregate and analyze the results of monitoring, surveillance and testing of potential irregularities in partnership with team leader and affiliate leaders.
Provide support to team leader in partnering with key Compliance team members to provide on-going training and coaching opportunity to business partners.
Assist team leader in conducting periodic calls with stakeholders.
Stay abreast of regulatory developments that may impact the program and provide on-going support in the updating of program policies and procedures.
Assist with implementing protocols for newly developed monitoring tests.
Maintain internal user databases in email archive tool.
Experience working in financial services
2+ years of compliance experience
Series 7 and Series 24 securities registrations required or must be obtained within 6 months of employment.
Demonstrated financial services knowledge, e.g. products, markets, terminology, operational and other processes.
Knowledge and experience with databases, spreadsheets, and other similar software is a must.
Must be extremely detail-oriented with a very inquisitive nature and have the ability to practice discretion and sound judgment while operating with integrity when handling sensitive information.
Strong organizational and analytical skills along with ability to research utilizing a variety of resources.
Superior verbal and written communication skills are required.
Excellent problem-solving skills with capacity to bring problems to resolution.
Able to function independently.
Technological and systems knowledge and experience strongly preferred.
Previous experience with electronic message monitoring a plus
Knowledge and experience with Social Media a plus.
Equal Employment Opportunity is not just the law, its our commitment. Read more about the .
If you need assistance applying due to being visually or hearing impaired, please email .
We are an Equal Opportunity/Affirmative Action Employer. We will 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 legally protected status.
Requisition ID: 1720914
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