Senior Analyst, Process & Controls

  • Competitive
  • Charlotte, NC, USA
  • Permanent, Full time
  • Nuveen Investments
  • 15 Dec 17 2017-12-15

Senior Analyst, Process & Controls

COMPANY OVERVIEW:

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 http://www.nuveen.com/


POSITION SUMMARY:

Nuveen is seeking a Senior Analyst within the Process and Controls Oversight group. The team partners with Nuveen Operations and Technology to evaluate controls within business processes and improve process efficiency. They promote a control oriented mindset seeking to minimize unfavorable outcomes and to ensure satisfactory results from internal, external and regulatory audits.

KEY RESPONSIBILITIES AND DUTIES:

  • Conduct process walkthrough sessions with business partners, comprehend and analyze workflow practices and translate the significant activities into value added Visio process maps.
  • Perform root cause analysis for poor workflow
  • Identify risks, controls and control gaps
  • Evaluate the design adequacy and operating effectiveness of controls
  • Develop a working relationship with Internal Audit, Compliance, Legal, and Risk.
  • Plan, develop and perform control testing within multiple programs including Sarbanes-Oxley (SOX), RCSA and SOC 1
  • Write and review Standard Operating procedures.
  • Draft process diagrams and recommendation on future workflow enhancements.
  • Provide audit support on internal and external audits
  • Identify risk and track mitigation options for controls and project related activity
QUALIFICATIONS:

Required Skills:
  • 3 - 7 Asset management/investment operations experience
  • Bachelor's degree from an accredited four-year university
  • Excellent analytical, troubleshooting skills
  • Self-directed, self-starter, and motivated
  • Strong organizational skills and ability to prioritize tasks

Preferred Skills:
  • Knowledge of Internal Control testing (design and operating effectiveness)
  • Experience with SOX ,SSAE16 or regulatory audits
  • Familiar with Six Sigma methodology
  • Ability to create process documentation and swim lane diagrams
  • Project management
  • Ability to manage multiple priorities
  • Strong attention to detail
  • Knowledge of Excel, PowerPoint and Visio
  • Excellent communication (written and oral)


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