Senior Analyst, Investment Operations

  • Competitive
  • Chicago, IL, USA
  • Permanent, Full time
  • Nuveen Investments
  • 20 Oct 17 2017-10-20

Senior Analyst, Investment Operations


Nuveen is the investment management arm of TIAA. It is one of the largest global asset managers with specialist knowledge across a wide array of asset classes, including fixed income, equities and alternatives. Nuveen is driven not only by the independent investment processes across the firm, but also the insights, risk management, analytics and other tools and resources a truly world-class platform provides. As a global asset manager, our mission is to work in partnership with our clients to create outcome-focused solutions to help them secure their financial future. For more information about the firm please visit our website at

Responsibilities include communicating allocation breakdowns, block trade detail to dealers & custodial service providers, as well as providing oversight to the comparison and settlement process of equities, municipals, UIT's and other security types through industry utilities. The incumbent in this position will be responsible for monitoring trade communication processes, the Nuveen broker dealer clearing system Broadridge / BPS along with NSCC & DTCC systems utilized for street side trade comparison & settlements. The candidate will be responsible for resolving and correcting both trade issues recognized through processes performed as well as notifications of trade issues and errors from inside & outside of Nuveen.


* Monitors systems & processes utilized for automated trade notification to custodial service providers. Also responsible for uploading trade files into custodial service providers proprietary systems
* Reviews daily reports generated from Nuveen Securities Broker / Dealer clearing system Broadridge / BPS, rectifying breaks and issues identified
* Monitors NSCC/FICC trade comparison systems and works with both internal and external groups to resolve dk's & trade detail discrepancies
* Reviews and resolves unaffirmed ID trades present in DTCC Omgeo.
* Processes cancelled & rebilled trade instructions received in Broadridge / BPS system and provides oversight to the reversals and a/o's in RTTM & Omgeo.
* Looks for opportunities for process improvement. This includes leveraging technology to automate.
* Reviews the automated trade feeds into Broadridge / BPS to ensure data has been properly loaded and resolves failed trade file issues with IT Support
* Reviews end of day trade activity, post trade file uploads within the Broadridge/BPS system and resolve any trade issues identified
* Provides support and research for the SMA Trading Groups, the UIT Trading Group and other Nuveen Investment Teams that utilize the Broker Dealer back office capacities
* Process and monitor daily DTCC settlement functions

SUPERVISORY RESPONSIBILITIES: This position has no supervisory responsibility.
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. The requirements listed below are representative of the knowledge, skill, and/or ability required. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
* B.A. / B.S. Degree in Finance, Accounting, Economics, or a related field
* Up to 2 years experience in Broker Dealer back office operations

Equal Employment Opportunity is not just the law, it's our commitment. Read more about the Equal Employment Opportunity Law .

If you need assistance applying due to being visually or hearing impaired, please email Careers Help .

We are an Equal Opportunity/Affirmative Action Employer. We will consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other legally protected status.