Compliance Analyst

About the role

TIAA Global Capabilities is seeking a Compliance Analyst (Risk & Compliance Support Officer) to evaluate National Contact Center consultant interactions flagged by an AI compliance monitoring system. The role involves reviewing call recordings, applying dispositions, documenting findings in the Call Monitoring Automated (CMA) module, and escalating compliance observations to support regulatory integrity and participant protection. Based in Mumbai, India, this hybrid position works under close supervision to assist with compliance risk assessments, audits, and corrective action plans.

What you’ll do

• Reviews assigned NCC consultant call recordings in full and evaluates each call against established compliance monitoring standards
• Applies accurate dispositions to flagged calls across all monitored topics including Complaints, Education Only, Authentication, and Registration and Licensing
• Documents all review findings completely and accurately within CMA in accordance with the NCC Call Monitoring Standard Operating Procedure
• Updates call status to In Progress in CMA upon beginning assigned call evaluations
• Completes all calls within assigned cases by the designated case due date
• Escalates compliance observations to the Compliance Monitoring Lead for second-level review
• Communicates proactively to the Program Administrator when capacity constraints may affect timely case completion
• Participates in calibration sessions and applies feedback consistently to subsequent reviews

What you’ll bring

• 1-3 years of experience in asset management or related investment banking experience
• Extremely detail-oriented with a very inquisitive nature and sound judgement
• Strong organizational and problem-solving skills with ability to conduct research
• Strong time management, analytical skills and ability to formulate strategic initiatives
• Strong written and oral communication skills to interact with business partners
• Comfortable in a high performance, fast paced, high-pressure environment
• Exposure and experience in using risk and monitoring tools and techniques
• University (Degree) Preferred

Nice to have

• Experience in a financial services firm in a Risk or Compliance governance function
• Knowledge of US-based regulatory requirements for financial advertising and marketing
• Experience with sampling techniques
• Strong Microsoft Office skills (Word and Excel / pivot tables)

Skills

Education

University (Degree) Preferred