Senior Investment Operations Analyst
Nuveen Investments
 Chicago, IL


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.


  • Review (scrub) dividend and corporate action data received via custodians and vendor data
  • Liaise with internal and external partners to verify corporate action details / requirements
  • Conduct corporate action complex event analysis, as needed
  • Distribute corporate action details to investment affiliates in a timely manner
  • Solicit voluntary corporate action elections from investment affiliates
  • Communicate voluntary corporate action elections to account custodians on time
  • Process dividend and corporate action entitlements within accounting platforms
  • Monitor event reconciliation and trading system restrictions
  • Work closely with internal and external partners to resolve corporate action reconciliation issues
  • Complete daily / weekly tracking and reporting of event processing and restrictions.
  • Perform class action research, payment tracking, and transaction processing
  • Perform ad-hoc research and troubleshooting requests
  • Prepare development of workflow process suggestions and documentation
  • Assist in gathering / tracking monthly metric data
  • Participate in general departmental initiatives and system enhancement projects
  • Additional dividend/corporate action responsibilities, as needed.


Required Skills

  • 5 years minimum of Asset Management industry experience

Preferred Skills

  • 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 payment processing
  • Eagle PACE, PORTIA, Charles River, XSP system experience
  • Bloomberg and DTC general knowledge
  • SQL script general knowledge
  • General knowledge of front, middle, and back office investment operations.
  • Working knowledge of standard fixed income / equity investment products
  • Working knowledge of corporate action / reorganization events and processing
  • Working knowledge of dividend income payments and taxation guidelines
  • Microsoft Office Suite (Outlook, Excel, Word) intermediate level skill set
  • Strong research, analytical, and organizational skills
  • Ability to work both independently and within a team.

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Additional Information

  • Requisition ID: 1723363