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Marketing Compliance
2 weeks ago
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).
