Senior Marketing Compliance Professional

6 days ago

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

Job Title: Marketing Compliance Specialist

Role Overview

This 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 new marketing rule;
  • Reviewing marketing materials (including presentations, fact sheets, press releases, website content, social media posts, media appearances, webinar content, RFPs, and other content) across various product lines, encompassing registered and unregistered funds and segregated accounts (SMAs), consistent with U.S. and international marketing rules and guidance;
  • Collaborating with cross-functional teams, including Legal, Global Marketing, Distribution, and others to provide guidance on content standards and U.S. and international marketing rules;
Key Requirements:
  • Bachelor's Degree and at least 6+ years of experience in compliance-related roles;
  • In-depth knowledge of the securities industry and rules related to registered investment companies, registered investment advisers, and broker-dealers, including FINRA and SEC regulations regarding marketing and advertising;
  • Prior experience with supervising registered personnel and other broker-dealer requirements;
  • Current FINRA Series 7 and Series 24 licenses;
Essential Skills:
  • Excellent interpersonal skills; demonstrated ability to build and maintain strong internal and external relationships;
  • Strong organizational and time management skills; effective task prioritization;
  • Exceptional written and verbal communication and presentation skills; attention to detail;
  • Ability to comprehend complex regulations and apply them to practical scenarios;
  • Proficiency in Microsoft Office applications (Word, Excel, Outlook).

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