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TIAA

Senior Compliance Officer

TIAA

Senior Associate compliance officer monitoring enterprise-wide equity positions and preparing regulatory disclosures. Working at TIAA Global Capabilities based in Mumbai, India.

Posted 5/21/2026full-timeMumbai • 🇮🇳 IndiaSeniorWebsite

About the role

Key responsibilities & impact
  • 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
  • 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
  • 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
  • Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures
  • Maintain an up-to-date foreign regulations and industry rules matrix
  • Accurate and timely completion of reports, projects and initiatives as required
  • Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests

Requirements

What you’ll need
  • 5+ Years Required work experience
  • 7+ Years Preferred work experience
  • University (Degree) Preferred
  • Sedentary Work

Benefits

Comp & perks
  • Flexible work arrangements
  • Professional development opportunities

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools
data analysisdata integrityreport preparationregulatory disclosuresholdings database managementdata exception documentationspreadsheet developmentresearchdata monitoringanalytical reporting
Soft Skills
attention to detailorganizational skillscommunication skillsleadership supportproject management