TIAA Senior Investment Operations Analyst in CHARLOTTE, North Carolina
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
Nuveen Middle Office (NMO) provides support to several of the investment affiliates within Nuveen, including Nuveen Asset Management LLC, NWQ Investment Management LLC, Santa Barbara Asset Management LLC, and Teachers Advisors LLC. This support is provided through operation groups that specialize in the following functions: Portfolio Accounting and Reconciliation, Trade Processing and Settlement, Corporate Action and Income Processing, Data Management, Derivatives Administration, and Pricing. Operation functions are located in New York (NY), Chicago (IL), Minneapolis (MN), Charlotte (NC), San Francisco (CA), and Pune (India).
The Corporate Actions team is responsible for global dividend income and global corporate reorganization research and processing, including, but not limited to, splits, reverse splits, mergers, name changes, redemptions, calls, liquidations, tenders, exchanges, conversions, right subscriptions, dutch auctions, and subscription warrants.
The Corporate Actions Senior Analyst role will be responsible for reviewing, monitoring, and processing both dividend income and corporate action events within Nuveen Middle Office software applications - XSP Toolbar (FIS), Eagle PACE (BNY Mellon), PORTIA (SS&C), and Charles River Development. The Senior Analyst role is also responsible for additional in-depth research, analysis, and monitoring.
KEY RESPONSIBILITIES AND DUTIES:
Review (scrub) dividend and corporate action data receivedvia custodians and vendor data
Liaise with internal and external partners to verifycorporate action details / requirements
Conduct corporate action complex event analysis, as needed
Distribute corporate action details to investment affiliatesin a timely manner
Solicit voluntary corporate action elections from investmentaffiliates
Communicate voluntary corporate action elections to accountcustodians on time
Process dividend and corporate action entitlements withinaccounting platforms
Monitor event reconciliation and trading system restrictions
Work closely with internal and external partners to resolvecorporate action reconciliation issues
Complete daily / weekly tracking and reporting of eventprocessing and restrictions.
Perform class action research, payment tracking, andtransaction processing
Perform ad-hoc research and troubleshooting requests
Prepare development of workflow process suggestions anddocumentation
Assist in gathering / tracking monthly metric data
Participate in general departmental initiatives and systemenhancement projects
Additional dividend/corporate action responsibilities, asneeded.
- 5 years minimum of Asset Management industry experience
2 years minimum of Corporate Actions or Income Processing prior industry experience
Bachelor’s degree, with focus of Accounting / Finance
Working knowledge of class action filing and paymentprocessing
Eagle PACE, PORTIA, Charles River, XSP system experience
Bloomberg and DTC general knowledge
SQL script general knowledge
General knowledge of front, middle, and back officeinvestment operations.
Working knowledge of standard fixed income / equityinvestment products
Working knowledge of corporate action / reorganization eventsand processing
Working knowledge of dividend income payments and taxationguidelines
Microsoft Office Suite (Outlook, Excel, Word) intermediatelevel skill set
Strong research, analytical, and organizational skills
Ability to work both independently and within a team.
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- Requisition ID: 1723363
Post Date: Nov 06, 2019