Trainee - Compliance - IN
Trainees will be placed in any of the Compliance processes within India GC LRC and will be expected to learn and perform the relevant function and its activities as per standard operating procedures. The processes are rule based and any exception would have to be performed with the help of the process owners / leads. These processes are extensions of those which support the compliance functions for the larger TIAA business in the United States of America; hence the Trainee role is extremely important as it can impact the services provided by TIAA to its Clients, and among others, Business Unit SLAs, Regulatory Implications and Reputational Risk.

Key Responsibilities and DutiesAssists with performing all phases of compliance monitoring and surveillance activities, including data collection, developing the scope, documenting applicable risks and controls, developing reproducible scripts, analyzing and interpreting findings, documenting and tracking issues and observations, and drafting written reports. Identifies and implements preventative measures, compliance processes, revised policies and procedures to improve the general operation of business unit compliance programs Monitors, tracks, designs, and implements corrective action plans to resolve compliance issues and to ensure that compliance deficiencies are corrected. Analyzing operational procedures, controls, transactions, documents and records and verifying compliance with regulations and defined policies and proceduresEducational RequirementsHigh School PreferredWork ExperienceNo Experience Required; 2+ Years PreferredPhysical RequirementsPhysical Requirements: Sedentary Work
Career Level
3IC

Related Skills

Adaptability, Collaboration, Communication, Compliance, Conflict Management, Detail-Oriented, General Risk Management, Problem Solving, Relationship Management, Risk Mitigation, Risk Reporting

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Company Overview

TIAA Global Capabilities was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA Global Capabilities is focused on building a scalable and sustainable organization , with a focus on technology , operations and expanding into the shared services business space.

 
Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

We are an Equal Opportunity Employer. TIAA does not discriminate against any candidate or employee on the basis of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.

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