Senior Associate - Compliance Officer (Regulatory Reporting),Mumbai

Summary :

The associate will support Nuveen's compliance regulatory reporting program by facilitating US and non-US reporting obligations arising from the firm's ownership interest in equity and related securities, supporting filings with regulatory bodies, issuers, and markets.

The associate will monitor enterprise-wide restricted and watch lists, administer equity ownership thresholds, process daily regulatory reports, and compile ad hoc ownership reports. They will manage complex filings with precision, apply sound analytical judgment to evolving regulatory requirements, and contribute to process improvement initiatives and internal controls strengthening.

The role also includes serving as a reliable point of contact for regulatory reporting matters, engaging with internal business partners across the enterprise as well as external stakeholders, and communicating requirements and outcomes with clarity and professionalism.

The ideal candidate is a self-starter with demonstrated experience in regulatory reporting or a related compliance discipline, possessing subject matter expertise and the ability to operate autonomously while collaborating effectively in a fast-paced environment.

Key Duties & Responsibilities :

Core Daily Equity Ownership Monitoring Responsibilities:

• 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 as necessary to resolve data issues.
• 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 and associated daily trading.
• 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.

Regulatory Reporting:

• Prepare Ad Hoc, Monthly, Quarterly and Annual regulatory disclosures: Non US Large Shareholder Disclosures, Schedule 13D/G filings, Form 13F filings, Form 13H filings, CFTC/NFA, Form PF, and Federal Reserve TIC and other regulatory filings.
• Maintain an up-to-date foreign regulations and industry rules matrix.

General Compliance Responsibilities

• Accurate and timely completion of reports, projects and initiatives as required. (large shareholder disclosures)
• Compile and distribute required reporting: ad hoc, monthly, quarterly and annual requests (internal and external clients).

Area of Impact

The position requires interaction with Data Management, affiliate Chief Compliance Officers, Portfolio Compliance, Portfolio Managers, Legal and Operations personnel. The associate will be expected to develop credibility and solid working relationships with such personnel. Expertise and proficiency are relied upon by multiple affiliates. Lack of appropriate coverage in this area will negatively affect the business financially, operationally and present significant regulatory and reputational risk.

Required Skills:

Experience & Domain Knowledge:

• 5 - 7 years of experience in Regulatory Reporting or experience within investment advisory business
• Familiarity with compliance related activities and applicability of regulatory reporting requirements.
• Familiarity with SEC reporting obligations under Section 13 and Section 16 of the Exchange Act.
• Familiarity with non-U.S. jurisdiction regulatory reporting regimes

Technical Skills:

• Experience with OMS and Portfolio Accounting applications — Charles River Development (CRD), Bloomberg, and Factset
• Ability to retrieve and analyze data from equity holdings repositories, trade blotters, data warehouses, OMS, and accounting systems
• Advanced Excel proficiency (Microsoft Office Suite)
• Knowledge of securities data — Equity, Fixed Income, Convertible Bonds, Preferred Securities, Options, and Derivatives

Analytical & Communication Skills

• Superior ability to accumulate, organize, and analyze large volumes of data with attention to detail
• Excellent written and verbal communication skills
• Ability to present complex information clearly to varied audiences

Strong prioritization, quantitative, and problem-solving skills

Preferred Skills:

• Certification such as CAIA or CFA is beneficial
• Working knowledge of back-office operations is a plus

Experience working with ’40 Act Funds’, Institutional Clients, Managed Accounts and Private Funds preferred.

Shift Timings : 3.30pm to 12:30am