Mutual Fund Operations Analyst
Charlotte , North Carolina
October 22, 2017
Job Description



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



About the Group

TIAA Investments is a global asset manager focused on achieving the best-possible long-term risk-adjusted returns for its clients. Its investments in active, quantitative and index strategies span global fixed income, equity, and responsible investment.

About the Position

We are seeking an Analyst to join the Mutual Fund Distribution Services team at TIAA Investments. The successful candidate will be responsible for the daily work associated with compliance of SEC Rule 22c-2 (market timing) which is inclusive of monitoring trade activity and appropriate action upon market timing rule violation. Position also includes analysis and reporting of large trade activity, coordination and ownership of the operating processes for the department and other activities related to vendor relationships in support of our retail mutual fund customers.

Major Responsibilities:
  • Provide support on the daily review and analysis of trading activity in support of SEC Rule 22c-2
  • Request of trading data from intermediary relationships for review
  • Work with our external vendor in support of compliance with 22c-2 to ensure all elements of our program are followed and contractual service levels are met
  • Create and distribute monthly reporting to management detailing results of the 22c-2 analysis
  • Generate detailed annual reporting for the Funds’ Board
  • Analyze industry trends to determine potential enhancements to our Program
  • Analyze and report on large trading activity
  • Review daily reports on activity occurring at the Transfer Agent
  • Responsible for maintenance of all standard operating procedures for the department
  • Provide back-up support for others on the team
  • Must develop and maintain strong relationships with internal and external business partners



Required Skills and Experience:

  • Bachelor’s degree and 3-5 years’ experience working in financial services
  • Knowledge of and experience in working with broker/dealers
  • Knowledge of mutual funds
  • Must be a self-starter, strategic thinker and have the ability to work independently
  • Experience in working with a team and providing support to accomplish team goals, assist teammates and provide back-up coverage for specific operational functions
  • Proven history of strong performance
  • Strong knowledge of and adherence to compliance responsibilities
  • Possess excellent verbal and written communication skills, strong attention to detail and excellent time management skills
  • Strong project management skills in working with teams throughout the organization
  • Broad understanding of operational risks and controls
  • Strong analytic and quantitative skills
  • Proficient in Microsoft Excel and PowerPoint

Desired Skills and Experience:

  • 3-5 years’ experience working in financial services, preferably working with mutual funds and prior review of trading activity

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