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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

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Hard Skills
data analysisdata integrityreport preparationregulatory disclosuresholdings database managementdata exception documentationspreadsheet developmentresearchdata monitoringanalytical reporting
Soft Skills
attention to detailorganizational skillscommunication skillsleadership supportproject management
Industry Keywords
equity positionsUK and Irish Takeover Panelpoison pillsregulated industriesforeign regulationsindustry rulesreportable securitiesintra-day tradingdata managementstakeholder engagement

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