Compliance - Compliance Marketing Review - Associate

Overview

Associate role focused on reviewing compliance of various client-facing and marketing materials and performance reporting across asset classes.

What you'll do

• Conduct comprehensive and timely reviews of marketing and other client-facing materials.
• Assess client reports, research papers, webisodes, and social media content for compliance.
• Review complex presentations, including hypothetical and back-tested performance, for regulatory compliance.
• Provide proactive, clear guidance to business development and investment professionals on compliant advertising and performance reporting.
• Interpret and communicate relevant regulatory rules and developments into actionable guidance.
• Maintain industry and regulatory knowledge by monitoring and providing feedback on rulemaking and regulatory matters.
• Assist with implementing and updating policies, procedures, and staff training tools.

What you'll need

• Bachelor's degree.
• Minimum 3–5 years experience reviewing marketing material.
• Strong understanding of regulatory obligations including SEC Rule 206(4)-1 and FINRA Rule 2210.
• Strong understanding of ESMA, FCA, and non-US regulatory regimes.
• Well organized with strong communication skills and attention to detail.
• Ability to provide accurate, direct, practical advice in a timely fashion.
• Proactive time management with ability to manage projects independently.

Details

• Location: Bangalore.