Associate, Compliance Officer (Marketing & Distribution)

The Associate, Compliance Officer (Marketing & Distribution) role supports the implementation and maintenance of an effective global and regional marketing & distribution compliance framework. The role involves reviewing and coordinating marketing materials, drafting and maintaining guidance documents, and conducting trainings for the business.

Requirements

• 5+ years of relevant experience in a Compliance domain within a financial institution
• Strong understanding of asset management products and business activities
• Good legal research, interpretation and drafting skills
• Experience in drafting compliance policies, procedures, guidelines
• Prior experience in cross border sales related advise and review of sales and marketing material preferred
• Excellent verbal and written communication skills
• Strong analytical and communication skills and ability to work independently and autonomously
• Superior attention to detail
• Good team player with ability to collaborate within and across team
• Proficiency in Microsoft Word, PowerPoint, and other system applications
• High level of expertise in Excel, strong technical skills
• Excellent time management and organizational skills
• Ability to interact with employees at all levels and work with global team

Benefits

• Strong retirement plan
• Tuition reimbursement
• Comprehensive healthcare
• Flexible Time Off (FTO)
• Support for working parents