Sr Associate Business Risk and Controls
About The Position
The Risk & Controls team is responsible for managing operational risk and ensuring that the right controls are in place to safeguard our clients' assets. A strong and well-governed control environment underpins our ability to deliver the best possible client experience, and our team plays a critical role in maintaining the integrity, resilience, and reliability of Nuveen's operations. Through proactive risk identification, robust control design, and continuous improvement, we work to protect clients, support the business, and uphold Nuveen's commitment to operational excellence.
Requirements
- 3+ years of experience in operational risk, controls, audit, or a related function within asset management or financial services
- Strong understanding of investment management operations, including trade lifecycle, reconciliation, and compliance
- Strong influencing, relationship management, and partnering skills
- Excellent qualitative and quantitative analytical and problem-solving skills
- Demonstrate ability to work effectively under pressure and provide insights in short timeframes
- A collaborative and team-oriented working style with a demonstrated ability to work effectively across cross-functional teams and diverse groups
- Experience with assurance reporting, including SOC 1 Type and Type II engagements, control documentation, and audit readiness
Nice To Haves
- 5+ years of experience in operational risk, controls, audit, or a related function within asset management or financial services
Responsibilities
- Manage and oversee operational risk across multiple business units and asset classes, ensuring that the right controls are in place to safeguard client assets and support business objectives
- Conduct root cause analysis on operational errors and incidents, recommending and tracking remediation actions to mitigate risk and prevent recurrence
- Monitor and report on the overall health of the control environment, including key risk indicators, issue trending, and control deficiencies
- Partner with Business Risk Liaisons (BRLs) and cross-functional teams to identify process improvement and automation opportunities that strengthen controls and enhance operational efficiency
- Support the development and maintenance of operational risk policies, procedures, and frameworks in alignment with Enterprise risk standards
- Manage and track issues and action plans through the firm's risk management system, ensuring timely escalation and resolution
- Support onboarding and lifecycle change events by ensuring operational readiness and that controls are sufficient prior to go-live
Benefits
- superior retirement program
- highly competitive health, wellness and work life offerings
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
Associate degree
