Compliance - Compliance Marketing Review - Associate - Bengaluru

Only for registered members Bengaluru, India

2 weeks ago

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Job summary

Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client-facing material, client reports, research papers, webisodes,
and social media content.

  • Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule , FINRA Rule 2210,
    ESMA, FCA and non-US regulatory regimes) and internal firm policies.
  • Apply expertise in the review of complex presentations,

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