Marketing Compliance

1 day ago

Hyderabad, Telangana, India CES Full time

Greetings from CES

We're currently looking for an Analyst/ Team Lead/AM - Marketing Compliance and I think you could be a good fit. We are looking for 6+ years of experience in Marketing Compliance, I'd like to tell you a little more about this position and learn a few things about you as well. Are you available for a quick call? If so, I'd be happy to set up a call. I'm also happy to coordinate or answer any questions you may have via LinkedIn if you prefer.

Shift Timings: 2:00 PM IST to 11:00 PM IST

Job Title: Senior Analyst/ Team Lead/AM - Marketing Compliance

Location: Hyderabad/Chennai - Remote

Position Summary—Marketing Compliance

He will be responsible for assisting with reviewing marketing communications and presentations across all media types and for domestic and/or international use, as appropriate.

Essential Duties

· Have a strong understanding of relevant regulatory rules and guidelines regarding marketing and advertising, especially FINRA advertising rules and the SEC's new marketing rule;

· Review marketing communications (including presentations, fact sheets, press releases, website and social media content, media appearances, webinar content, RFPs and other content) across numerous product lines, including registered and unregistered funds and segregated accounts (SMAs), consistent with U.S. and international marketing rules and guidance;

· Collaborate with business partners across all investment teams, Legal, Global Marketing, Distribution and others to advise on content standards and provide guidance on U.S. and international marketing rules;

· Have a strong understanding of FINRA advertising rules as they pertain to broker dealers;

Required Qualifications

· Bachelor's Degree and a minimum of 6+ years of relevant compliance related work experience.

· Solid understanding of the securities industry and the rules and regulatory requirements related to registered investment companies, registered investment advisers and broker-dealers, including FINRA and SEC rules regarding marketing and advertising.

· Prior marketing compliance experience pertaining to registered investment advisers, registered investment companies and various investment products;

· Prior experience with supervising registered persons and other broker-dealer requirements

· Current FINRA Series 7 and Series 24 licenses.

Professional Skills Qualifications

· Excellent interpersonal skills; demonstrated success in building and maintaining strong internal and external relationships.

· Strong organizational and time management skills; ability to effectively identify and prioritize the most critical tasks.

· Excellent written and verbal communication and presentation skills and attention to detail.

· Continually improve processes by researching and implementing best practices.

· Keeping abreast of the changing regulatory and business landscape with an inquisitive mind.

· Exercise good judgment and maintain strict confidentiality.

· A team player with the ability and willingness to pitch in as needed.

· Ability to comprehend complex regulations and apply to practical use cases.

· Proficiency in Microsoft Office applications (Word, Excel, Outlook).

  • Marketing Compliance

    3 weeks ago

    Hyderabad, Telangana, India CES Full time

    Job DescriptionGreetings from CESWere currently looking for an Analyst/ Team Lead/AM - Marketing Compliance and I think you could be a good fit. We are looking for 6+ years of experience in Marketing Compliance, Id like to tell you a little more about this position and learn a few things about you as well. Are you available for a quick call If so, Id be...

  • Senior Marketing Compliance Professional

    1 day ago

    Hyderabad, Telangana, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

    Job Title: Marketing Compliance SpecialistRole OverviewThis position plays a pivotal role in ensuring marketing communications and presentations align with regulatory requirements.Main Responsibilities:A thorough understanding of relevant regulatory rules and guidelines governing marketing and advertising, particularly FINRA advertising rules and the SEC's...

  • Corporate Compliance Officer

    5 days ago

    Hyderabad, Telangana, India beBeeCompliance Full time ₹ 18,00,000 - ₹ 20,46,000

    Compliance Leadership RoleWe are seeking an experienced leader to oversee and execute various compliance audits as per the annual audit plan.Involved in assigned investigations and internal auditsPlay a key role in understanding, evaluating various controls and processes in relation to compliance aspects of key compliance policiesWork closely with other...

  • Director, Compliance

    4 days ago

    Hyderabad, Telangana, India Bristol Myers Squibb Full time

    JOB DESCRIPTIONJob Title: Director, Compliance & Ethics Lead, India & HyderabadLocation : Mumbai or HyderabadPosition SummaryThis role leads the Compliance & Ethics (C&E) operations across India – both (i) BMS commercialization entity in Mumbai and (ii) center of excellence located in Hyderabad. The position drives a culture of integrity, ensures alignment...

  • Director, Compliance

    1 day ago

    Hyderabad, Telangana, India Bristol Myers Squibb Full time

    JOB DESCRIPTION Job Title: Director, Compliance & Ethics Lead, India & Hyderabad Location : Mumbai or Hyderabad Position Summary This role leads the Compliance & Ethics (C&E) operations across India – both (i) BMS commercialization entity in Mumbai and (ii) center of excellence located in Hyderabad. The position drives a culture of integrity, ensures...

  • Chief Compliance Strategist

    1 day ago

    Hyderabad, Telangana, India beBeeRegulatoryAdvisor Full time ₹ 1,50,00,000 - ₹ 3,00,00,000

    Senior Regulatory Advisor RoleWe seek seasoned professionals who embody the highest standards of integrity and professionalism. They must foster a culture of respect and collaboration, ensuring that personal ambitions align with the organization's collective goals.This senior role will play a pivotal part in guiding complex client engagements across...

  • Senior Compliance Manager

    1 day ago

    Hyderabad, Telangana, India beBeeCompliance Full time ₹ 15,07,500 - ₹ 25,49,250

    Compliance Leadership PositionWe seek a seasoned professional to spearhead our compliance efforts within the AIF/PMS/fixed Income sector.The ideal candidate will have a strong background in regulatory affairs and be able to effectively communicate with clients to ensure adherence to SEBI regulations.This leadership role involves:Collaborating with clients to...

  • Automated Compliance Professional

    5 days ago

    Hyderabad, Telangana, India beBeeCompliance Full time ₹ 2,00,00,000 - ₹ 2,50,00,000

    Job Summary:We seek an experienced compliance professional to lead our team in developing innovative solutions and surveillance systems.The successful candidate will oversee the design, implementation, and maintenance of automated compliance solutions, including workflow automation, data analytics, and reporting tools. They will also manage the development...

  • Compliance Advertising Specialist

    2 days ago

    Hyderabad, Telangana, India beBeeAdvertising Full time ₹ 9,87,654 - ₹ 12,34,567

    Job Overview:Advertising Compliance ManagerThis role plays a pivotal part in ensuring client advertising meets compliance standards. The Advertising Compliance Manager drives the surveillance process, updating monitoring portals and managing any issues that arise.Led the quarterly sampling process for client data, including meticulous review of rate sheets...

  • Manager - Compliance & Risk Operations

    3 weeks ago

    Hyderabad, Telangana, India Novartis Full time

    Summary As a Manager in Compliance Risk Operations you will independently lead and deliver high-impact audit readiness and compliance initiatives that are critical to Novartis US operations This role requires a strategic thinker with deep compliance expertise and excellent communication skills capable of driving cross-functional projects with minimal...