ApplyBlast uses AI to match you with the right jobs, tailor your resume and cover letter, and apply automatically so you can land your dream job faster.

Features

Auto Apply Resume Optimizer Cover Letter Optimizer Interview Prep

Company

Social Media

Need Help?

team@applyblast.com

Senior Associate - Compliance Officer at TIAA - ApplyBlast

Senior Associate - Compliance Officer

TIAA

4 months ago

3.6 on Glassdoor

Mumbai, India

Onsite

Full Time

Senior

0 applicants

View Job Listing

Apply to 100+ jobs

About this role

This role oversees daily equity ownership monitoring, regulatory reporting, and compliance activities including Schedule 13D/G, Form 13F, and CFTC filings. The incumbent ensures data integrity across holdings databases, analyzes issuer restrictions, and supports leadership with complex securities data for various institutions. Collaboration with compliance officers, portfolio managers, and legal teams is essential to mitigate regulatory and reputational risks.

Responsibilities

Monitor and analyze enterprise-wide equity positions daily
Prepare monthly, quarterly, and annual regulatory disclosures including Form 13F and 13D/G
Maintain holdings databases to ensure data integrity and resolve technical issues with IT
Conduct analyses on issuer poison pills, regulated industries, and state statutes
Collaborate with compliance officers and portfolio managers to address escalated exceptions

Skills

Qualifications

Bachelor's DegreeCAIA CertificationCFA Charterholder5+ Years Experience

About TIAA

tiaa.org

Headquarters

New York, New York, United States

Company Size

10001+ employees

Founded

1918

View Profile

At TIAA, we believe everyone deserves a secure retirement. Explore our annuities, retirement plans, financial planning, investing & wealth management solutions.