Compliance - Compliance Marketing Review - Associate

AQR India; Bengaluru; On-site; INR 800,000 - 1,200,000; Full time

Job summary

A global investment management firm is seeking a Compliance Marketing Review Associate in Bengaluru, India. This role focuses on reviewing various marketing materials to ensure compliance with global regulations and internal policies. Candidates should have 3-5 years of relevant experience, strong understanding of SEC and FINRA rules, and excellent communication skills. The firm values proactive management and a collaborative work environment, making this position ideal for motivated individuals eager to learn.

Qualifications

• 3-5 years minimum experience reviewing marketing material in a relevant field.
• Strong understanding of regulatory obligations associated with financial marketing.
• Ability to provide accurate and practical advice timely.

Responsibilities

• Conduct comprehensive and timely reviews of materials for compliance.
• Assess materials across multiple asset classes for regulatory compliance.
• Provide training and guidance on compliance policies.

Skills

Marketing material review

Regulatory compliance expertise

Strong communication skills

Detail-oriented

Proactive time management

Job description

Compliance - Compliance Marketing Review - Associate

About AQR Capital Management

AQR is a global investment management firm built at the intersection of financial theory and practical application. We strive to deliver superior, long‑term results for our clients by seeking to filter out market noise to identify and isolate what matters most, and by developing ideas that stand up to rigorous testing. Underpinning this philosophy is an unrelenting commitment to excellence in technology — powering our insights and analysis. This unique combination has made us leaders in alternative and traditional strategies since 1998.

AQR takes a systematic, research‑driven approach, applying quantitative tools to process fundamental information and manage risk. Our clients include institutional investors, such as pension funds, insurance companies, endowments, foundations and sovereign wealth funds, as well as financial advisors.

Your Role

• Conduct comprehensive and timely reviews of various materials, including but not limited to marketing and other client‑facing material, client reports, research papers, webisodes, and social media content.
• Assess materials across multiple asset classes and investment strategies for compliance with applicable global regulations (e.g., SEC Rule 206(4)-1, FINRA Rule 2210, ESMA, FCA and non‑US regulatory regimes) and internal firm policies.
• Apply expertise in the review of complex presentations, including hypothetical and back‑tested performance, reviewing for regulatory compliance.
• Provide proactive, clear, and solution‑oriented guidance to business development and investment professionals regarding compliant advertising and performance reporting practices.
• Interpret and communicate about relevant regulatory rules and developments, translating them into actionable compliance and business guidance.
• Maintain relevant industry and regulatory knowledge, including monitoring and providing feedback on relevant rule‑making initiatives, risk alerts and other regulatory matters.
• Assist with the implementation of new policies and procedures as well as with updating existing policies and procedures.
• Provide training and informational tools to relevant staff on compliance policies and procedures and regulatory requirements.

What You’ll Bring

• 3‑5 years minimum experience reviewing marketing material, preferably with an investment adviser or broker‑dealer.
• Strong understanding of the regulatory obligations under rule 206(4)-1 of the Investment Advisers Act, the SEC Marketing Rule, FINRA Rule 2210, ESMA, FCA and non‑US regulatory regimes and any other applicable rules, regulations, and interpretive guidance.
• Well organized, strong communication skills, detail‑oriented and responsive.
• Ability to provide accurate, direct and practical advice in a timely fashion.
• Proactive time management skills and the ability to manage projects independently.
• Hard working, team oriented, able to handle tight deadlines and eager to learn in a highly intellectual, collaborative environment.

Who You Are

• Intelligent, energetic and goal‑oriented with the ability to juggle multiple tasks, meet deadlines and exercise sound judgment.
• Excellent oral and written communication skills; must be able to confidently collaborate with various departments within the firm.
• A self‑starter with the ability to follow through and complete tasks in a highly intellectual, collaborative environment.