Compliance - Compliance Marketing Review - Associate

AQR Capital Management

Bengaluru, India
On-site
3-5 years marketing material review experience
Expertise in sec rule 206(4)-1 compliance
Knowledge of finra rule 2210 regulations
AQR Capital Management is seeking a Compliance Associate in Bengaluru to review marketing materials and ensure compliance with global regulations. The ideal candidate will have a background in investment compliance, strong communication skills, and a proactive approach to managing projects in a collaborative environment

Job Summary

  • The role involves conducting comprehensive reviews of marketing materials, client reports, and social media content for global regulatory compliance.
  • Candidates must apply expertise in reviewing complex presentations including hypothetical and back-tested performance against strict regulatory standards.
  • The position requires providing proactive guidance to business development professionals on compliant advertising and performance reporting practices.

Matching Summary

Match Score: 85

AQR Capital Management is seeking a Compliance Associate in Bengaluru to review marketing materials and ensure compliance with global regulations. The ideal candidate will have a background in investment compliance, strong communication skills, and a proactive approach to managing projects in a collaborative environment.

Skills & Requirements

Must-have

  • 3-5 years marketing material review experience
  • Expertise in SEC Rule 206(4)-1 compliance
  • Knowledge of FINRA Rule 2210 regulations
  • Understanding of ESMA and FCA regulatory regimes
  • Experience with back-tested performance reviews

Nice-to-have

  • Strong communication and collaboration skills
  • Ability to manage tight deadlines independently
  • Proactive time management and project skills
  • Detail-oriented approach to complex presentations

Key Requirements

  • Bachelor's degree required
  • 3-5 years minimum experience in investment adviser or broker-dealer compliance
  • Deep understanding of US and non-US regulatory frameworks

Work Rights

Not specified

Tailored Resume

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