Sr. Associate, Marketing and Distribution (Compliance) Ares Management

3.0 - 7.0 years

0 Lacs

maharashtra

On-site

As an Associate at Ares, you will play a crucial role in supporting the company's compliance with marketing materials policies. Your responsibilities will include: - Providing primary compliance marketing review support for various materials such as DDQs, RFPs, webinars, quarterly and annual reports to ensure compliance with regulatory guidance and Ares Marketing and Advertising policy. - Communicating any issues and escalating them as needed with Compliance Leadership. - Monitoring all submissions of materials in a timely fashion to ensure high quality and timely reviews. - Assisting with marketing review system administration, including onboarding, training, workflow management, and proble...

Posted 1 month ago

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Compliance Advisory VP Barclays

7.0 - 11.0 years

0 Lacs

noida, uttar pradesh

On-site

As a Compliance Advisory VP at Barclays US Consumer Bank, you will provide leadership, oversight, and challenge on compliance risks and regulatory obligations. You will support critical business functions by reviewing marketing materials, advising on policy enhancements, and engaging with senior leaders. Your role involves ensuring the business operates in alignment with legal and regulatory standards through robust compliance frameworks, offering an opportunity to drive strategic compliance initiatives while supporting business growth. Key Responsibilities: - Proven experience in compliance advisory, risk management, and regulatory oversight - Understanding of U.S. consumer regulations such...

Posted 2 months ago

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Reviewer Analyst, OMR-Distributor ACA Group

2.0 - 6.0 years

0 Lacs

pune, maharashtra

On-site

ACA is a reputable firm that was established in 2002 by former SEC and state regulators to provide expert guidance to investment advisers on existing and new regulations. Over the years, ACA has expanded its GRC business and technology solutions through both organic growth and acquisitions. The firm now offers a wide range of services such as GIPS standards verification, cybersecurity, regulatory technology, ESG advisory, AML and financial crimes, financial and regulatory reporting, and assistance with establishing EU operations through Mirabella. The Marketing Review (MR) team at ACA plays a crucial role in assisting clients in ensuring that their marketing materials comply with relevant re...

Posted 3 months ago

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Operations Analyst ACA Group

2.0 - 6.0 years

0 Lacs

pune, maharashtra

On-site

The Marketing Review (MR) Operations team at ACA Group supports the Marketing Review team by handling various administrative tasks such as generating billing reports, volume reports, board reporting, and setting up new clients and users within the proprietary system. As an MR Operations analyst, you will be responsible for creating submissions for Annual and Semi-Annual Reports in the ComplianceAlpha Marketing Review system, coordinating with internal MR operations counterparts to establish new users and client organizations, and working efficiently under pressure and time constraints to meet client deadlines. Additionally, you will assist in system-related tasks like closing out stale files...

Posted 3 months ago

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