Job Role: Senior Associate- Compliance
Responsibilities & QualificationsSpecifically, you will:
- Be responsible for review of all Fund Raising/Advertising/ Marketing material/products shared by the customer, adhering to regulatory requirements and internal guidelines.
- Keep track of and provide regular updates about regulatory changes and the applicability/ impact assessment for the given situation.
- Develop and share creative review strategies to improve output and accuracy and focus on areas of greatest risk.
- Develop and review process documentation.
- Identify any areas requiring clarification or refresher training and identify controls that need to be put in place.
- Participate in preparing Periodic Governance Reports with the customer.
- Review and revise reports timely and accurately before they are sent out to the customer.
- Attend weekly client calls to raise clarifications/updates regarding policies and review process.
Skills for Success:
- Can demonstrate a fundamental knowledge of regulatory requirements in the financial services industry.
- Can interpret and apply regulatory provisions to the given situation.
- Is passionate about delivering first-class customer service.
- Has an excellent focus and a high level of attention to detail.
- Is a team player who works well within a collaborative environment.
- 5 or more years of relevant experience.
- Experience in the legal review process for various financial marketing materials/products used by funds.
- Have experience working with legal reviews/due diligence programs.
- Experience creating technical compliance workflows and detailed playbooks.
- Knowledge of Securities Regulations/guidelines, FCPA, FINRA regulations, and SEC compliance policies.
- Bachelor’s Degree required
- Exposure/Specialization in Finance as well as Legal domain; preferably law graduate
- Financial or Compliance qualifications preferred – Registered Representative, Series 7, 24 or 63, ICA Compliance Diplomas