Manager - Marketing Compliance - BFSI (14-18 yrs) - Hyderabad/Bangalore, India - iimjobs

Description

• Manage a team responsible for establishing, implementing and maintaining risk standards and programs to drive compliance with federal, state, agency, legal and regulatory and Corporate Policy requirements
• Oversee the Front Line's execution and challenges appropriately on compliance related decisions
• Manage an aspect of the companywide compliance program for a business group or functional area with moderate risk and complexity, or oversee and monitor specific elements of the enterprise compliance program
• Provide compliance risk and regulatory subject matter expertise for a defined set of moderate risk compliance program elements
• Provide compliance risk and regulatory expertise for compliance program elements
• Recommend opportunities for process improvement and risk control development
• Manage coordination and communication with leadership regarding compliance risks
• Implement strategic initiatives with moderate risk and complexity
• Make decisions and resolve issues to meet business objectives
• Interpret policies, procedures, and compliance requirements
• Manage communication and collaboration with business leaders, Legal, Audit, and regulators on risk related topics
• Manage allocation of people and financial resources for Compliance
• Mentor and guide talent development of direct reports and assist in hiring talent

• Knowledge of FINRA, SEC & OCC (RSNIP) advertising rules.
• 10 + years' experience in reviewing advertising/promotional material.
• Excellent writing and editorial skills.
• Solid knowledge of products offered through Broker Dealers, RIA's and/or Bank Trust Departments
• Proven ability to understand and communicate effectively about technical, complex compliance standards and policies.
• Strong administrative and organizational skills in a deadlinedriven environment.
• Ability to work independently and also as part of a highfunctioning, collaborative team of professionals, including the ability to form relationships at all levels of the organization.
• Strong ability to prioritize and handle multiple tasks and to be detail oriented in a fastpaced, deadline driven environment.
• Knowledge of emerging communications technology, both for working with colleagues, and for assessing the use of marketing content in emerging communications channels, including social media.