Compliance Lead

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Job Description

Your Team

Marketing Communication Compliance is a sub function of Global Compliance and part of India Compliance Team. They provide necessary support to Global Marketing Communication Compliance from Hyderabad office. This position will be part of Marketing Communication Compliance Team in our Hyderabad, India, office. This team supports specific activities for and provides specific services to the Global Marketing Communications Compliance teams across regions.

Compliance

Lead will be responsible for effectively managing support to Marketing Compliance teams based out of EMEA, APAC, and other regions based on business needs in managing various Marketing Communications Compliance activities such as review of Marketing Materials and others.

Your Role

• Currently, the role will primarily support EMEA Region’s Marketing Compliance Team. Based on business needs, regions in scope may get added or updated to other regions/areas such as APAC, US, Global Materials and others. Provided below are illustrative responsibilities and areas of work for this role:
• Review of materials related to financial promotions for EMEA region, such as standard presentations, bespoke presentations, fact sheets, email invites and other financial promotion/marketing related communication for EMEA region, as per agreed procedures
• Apply expertise in the review of complex Marketing materials, such as strategy presentations, Alternative investments, PMP updates, ETF/ETP-related content, and other complex financial promotions, as per agreed procedures
• Provide proactive, clear, and solution-oriented guidance to business regarding financial promotions and performance reporting practices.
• Assess Marketing Materials and investment strategies/products for compliance with applicable global regulations (e.g., ESMA, FCA and SFDR) and internal firm policies.
• Perform periodic monitoring reviews for marketing materials approved through risk-based review approach.
• Regularly Monitor relevant regulatory updates and developments to ensure all marketing materials meet compliance standards.
• Perform monitoring reviews for RFPs for the EMEA region.
• Manage the Disclaimer Tool, including risk matrix, product disclaimer sheet etc.
• Preparation of periodic management reports and analysis for Marketing Compliance teams.
• Preparation of complex board reports for various business entities
• Prepare and maintain documentation of procedures, process-flows and roles and responsibilities, for the activities being managed from Hyderabad.
• Maintain, track and report key performance indicators or metrics, for Compliance related activities managed out of Hyderabad.
• Execute special projects and ad hoc tasks as required.
• Partner effectively with local and global Compliance team members and other business functions as required. Participate in periodic calls and meetings with the Marketing Compliance teams in EMEA and other regions.
• Escalate issues effectively to appropriate levels of management.

Working Conditions:

• Working hours will be from 10.30 AM to 7.30 PM IST. This is typically adjusted by an hour during the period of Day Light Savings in the UK. The schedule may also change from time to time based on business, process or project related requirements
• Shall be open to work flexible hours

The Experience You Bring

• 5-7 years of related work experience demonstrating the skills identified, preferably in Marketing Compliance domain in Asset Management industry or a similar Compliance domain or regulatory environment. Knowledge of financial products will be an added advantage
• Ability to provide accurate, direct and practical advice to business in a timely fashion
• Good oral and written communication skills; must be able to confidently collaborate with various
• departments within the firm
• Strong analytical skills and attention to detail
• Flexible and adaptable attitude with a strong emphasis on compliance with rules and regulations
• Team player
• Proficiency in MS Office suite of application

Academic requirements

• MBA or Degree in Commerce/Finance

Full Time / Part Time

Full timeWorker Type

EmployeeJob Exempt (Yes / No)

YesWorkplac