Associate - Asset Management Compliance

About the role

The Asset Management Compliance team in Bengaluru provides advisory services for portfolio management, trading, and sales activities within Asset and Wealth Management Public. The role involves responding to regulatory requests, conducting surveillance, updating policies, and training business personnel on compliance matters. This is an on-site position based in Bengaluru, Karnataka, India.

What you’ll do

• Provide compliance advisory services for portfolio management, trading, and sales activity
• Respond to regulatory requests and compliance queries from the business
• Uplift compliance programs in response to regulatory reform
• Perform surveillance and forensic reviews
• Train business personnel in compliance matters
• Participate in policy updates and drafting
• Conduct marketing material sign off
• Advise on sales activity

What you’ll bring

• 2-6 years of experience in regulatory risk or compliance
• Experience preferably within Asset Management

Skills