As Compliance Officers, we coordinate with the Head of Marketing or designee and all applicable business units. We provide timely review and approve all communications. We ensure that all communications follow applicable regulatory guidelines. It is our duty to conduct a compliance monitoring program relating to marketing materials. We update policies and procedures. We conduct periodic training with personnel. Maintaining the records of all approved materials is a part of our job. We recordkeeping rules and internal policies and procedures. We work closely with the Compliance Team. Assisting in any other Compliance-related functions and ad hoc projects is also our job.
Core tasks:
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