Ecc Compliance Associate

Compliance Associate

The Compliance Advisor assists with broader planning of business unit compliance programs in order to ensure organization functions are in compliance with all relevant laws, regulations, and policies and to prevent illegal, unethical, or improper business practices within the organization. Working independently under general supervision, this job assists team members with identifying, investigating, and reporting compliance risks.

Key Responsibilities and Duties
- Supports compliance risk assessments to identify compliance issues, concerns, and deficiencies.
- Assists with investigations in response to complaints and/or potential violations of rules, regulations, policies, and procedures.
- Supports organization and implementation of compliance audits.
- Assists with the design and implementation of corrective action plans to resolve problematic compliance issues and to ensure that compliance deficiencies are corrected.
- Drafts reports on the results of compliance and ethics initiatives of the business unit.
- Maintains documentation of compliance activities to provide a record of issues, and to ensure easy accessibility and retrieval of documents.
- Assists with the implementation of preventative measures and compliance processes, while contributing to the revision of policies and procedures to improve the general operation of business unit compliance programs as needed.

Educational Requirements
- University (Degree) Preferred

Work Experience
- 2+ Years Required; 3+ Years Preferred

Physical Requirements
- Physical Requirements: Sedentary Work

Career Level

6IC

The Research and Marketing materials Quality Associate is an integral role that will perform monitoring and periodic spot checks in accordance with defined standards and stated requirements, and will assist in review, create Fact sheets and marketing materials ensuring compliance with local regulatory requirements. Activities may involve:

- Create/Update Fact sheets and product marketing material;
- Prepare pitch books on new and existing products including all relevant data required from a regulatory perspective and cleared by compliance as well as perform
- Create Performance updates and standardized presentations;
- Provide/update analytical commentaries on basis of Fund performance in the Factsheets and strategies undertaken for collective Investments/ Commodities/ Private Equity/Hedge Funds;'
- Global exposure to UCITS, Alternative Investment Fund, Hedge Funds, 40 Act Funds, ETF/HF
- Marketing disclosure practices, content standards and use of content;
- Reviews and approvals of the Organization’s marketing and Research materials, fund fact sheets, pitch books;
- Marketing compliance review submissions for substantiations and back up documentation, and
- Social media and public appearances media activities in adherence with marketing and communications compliance policies and procedures.

The following duties are generally representative of the nature and level of work assigned and are not necessarily all-inclusive.
- Prepare pitch books on new and existing products
- Review and edit red herring prospectus and other offer documents for funds and structured products
- Provide commentaries on offer documents, pitch books, research materials etc, to keep them in line with Compliance and regulatory requirements
- Perform monitoring of marketing and communications content, including reviews, approvals
- Review social media presence of the firm and
- Review of marketing delivery systems for functionality purposes, websites for update protocols, and non-US distribution of materials for adherence to stated processes.

Related Skills

Adaptability, Business Process Understanding, Compliance, Compliance Trends, Critical Thinking, Detail-Oriented, Influence, Relationship Management, Risk Monitoring, Strategic Thinking

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Company Overview

TIAA GBS India was established in 2016 with a mission to tap into a vast pool of talent, reduce risk by insourcing key platforms and processes, as well as contribute to innovation with a focus on enhancing our technology stack. TIAA GBS India is focused on building a scalable and sustainable organization, with a focus on technology, operations and expanding into the shared services business space.

Working closely with our U.S. colleagues and other partners, our goal is to reduce risk, improve the efficiency of our technology and processes and develop innovative ideas to increase throughput and productivity.

We are an Equal Opportunity/Affirmative Action Employer. We consider all qualified applicants for employment regardless of age, race, color, national origin, sex, religion, veteran status, disability, sexual orientation, gender identity, or any other protected status.

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