Team Lead - Compliance

Overview

Serve as a key member of the Compliance Communication Review Group (CCRG), providing compliance oversight and guidance for marketing and client-facing communications.

What you'll do

• Review and approve marketing, advertising, and client communication materials to ensure compliance with applicable regulatory requirements, industry standards, and internal policies.
• Provide risk-based compliance guidance and regulatory support to Marketing and business partners on communications and promotional activities.
• Evaluate materials for regulatory and reputational risk, ensuring communications are fair, balanced, accurate, and supported by appropriate disclosures.
• Build strong partnerships with stakeholders and serve as a trusted compliance advisor, promoting a culture of compliance and risk awareness.
• Maintain expertise in marketing communication regulations and regulatory standards across the EMEA region, supporting the development and enhancement of related policies, procedures, and review processes.

What you'll need

• Bachelor's degree, or equivalent experience.
• 5-10 years of experience in Marketing Material Review, Advertising Review, or a related compliance services function.
• Strong understanding of regulatory requirements governing marketing communications, client communications, and advertising materials within the financial services industry.
• Knowledge of EMEA regulatory standards and experience reviewing marketing and promotional materials for compliance with applicable laws, regulations, and internal policies.
• Excellent written and verbal communication, stakeholder management, and analytical skills, with strong attention to detail and the ability to provide practical, risk-based compliance guidance.

Nice to have

• Series 7 licensed or desire to obtain in the future.
• Experience of customer grievance handling.

Details

• Location: Noida, Uttar Pradesh, India.
• Full-time role.
• Timings: 2:00p-10:30p India time.
• Business unit: AWMPO AWMP&S President's Office; job family group: Legal Affairs.