Compliance - Asset Management Compliance - Associate- Bengaluru
On-siteBengaluru, Karnataka, India
Bengaluru, Karnataka, IndiaOn-siteFull TimeEntry LevelInvestment BankingEnterprise
Full TimeEntry LevelEnterpriseInvestment Banking
Job Summary
Provide daily compliance surveillance of AWM portfolios and review and approval of financial promotion materials. Develop and draft compliance policies, procedures, and training programs while assisting in the production of board reports. Conduct forensic reviews, investigate breaches, and ensure complaints are logged and covered. Offer compliance advisory on global asset management marketing, distribution, and new fund launch projects. Review due diligence on third-party distributors and participate in policy updates. Log and cover the compliance aspect of sign-offs for new instruments and vehicles.
Required Qualifications
- 2-6 years of experience in regulatory risk or compliance, preferably within Asset Management
- General Compliance knowledge and familiarity with Asset Management regulations
- Knowledge of investment instruments including derivatives
- Demonstrated analytical and organizational capabilities
- Excellent written and verbal communication capabilities
- Ability to manage multiple priorities with attention to detail while collaborating with global stakeholders
- Ability to work both independently and as part of a global team
Desired Qualifications
- Highly motivated professional with a strong focus on risk and controls and sound judgment
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