Senior Compliance Advisor (Sales & Marketing Collateral)

Great Gray • Boston, MA

5d • $100,000 - $150,000 • Hybrid

About The Position

Great Gray is looking to add a Senior Compliance Advisor to our Compliance Team. The Senior Compliance Advisor sits in Great Gray’s Risk and Compliance Department, working closely with our first line business to manage risk in the marketing and sales of services and products. This position will report to the Chief Compliance Officer and assist in developing, administering and implementing marketing compliance policies and procedures in the sale and offer of trust and fiduciary products and services, particularly marketing and collateral material about Great Gray’s collective investment trust (CIT) vehicles but also Great Gray’s social media campaigns, blogs, podcasts, videos, thought leadership articles, and responses to RFIs and RFPs of our CITs and Great Gray’s trustee and administrative services. The ideal candidate will have worked in a law firm, consulting, in-house, or regulatory setting with experience in applying securities law and general anti-fraud principles to regulated and non-regulated products and services such as mutual funds, CITs, as well as familiarity with general marketing and performance rules applicable to registered investment advisers and their services and managed products. While Great Gray does not carry FINRA licenses, it will be helpful (but not required) if the candidate has passed one or more of the following FINRA qualification exams to demonstrate familiarity with the marketing and anti-fraud rules: Securities Industry Essentials (SIE), Series 6, 7, 24, 63, 65 and/or 66. We are looking for an experienced and talented compliance professional who can partner with our business colleagues to identify and proactively address regulatory matters and develop compliant solutions to business needs. The Specialist will review advertising in a timely fashion to ensure compliance with regulations and internal policies. The role requires providing input and direction to assist business partners with marketing our products and advancing our brand in a compliant manner.

Requirements

• Bachelor’s degree with a preference for Finance, Business Administration, or a related field
• Minimum of 5-7 years of experience as a compliance analyst, legal analyst, paralegal or paraprofessional, with strong preference for experience working in a law firm’s investment management or securities practice, a financial services firm, such as a broker-dealer, mutual fund company, or other asset manager, or a fintech firm with responsibility for regulatory compliance review of marketing materials of registered or unregistered investment products, securities or services.
• Advanced decision-making, problem-solving and analytical skills with particular attention to detail and accuracy.
• Demonstrated ability to be organized, work independently and maintain quality of work while meeting established deadlines.
• Ability to identify regulatory compliance issues, evaluate risks, and be entrepreneurial and creative in offering options to achieve business objectives within acceptable risk parameters; willing to be flexible yet firm.
• Excellent written and verbal communication skills and the ability to communicate and advocate effectively with all levels of Great Gray and with external stakeholders.
• Excited to work in a high growth, dynamic, and sometimes uncertain environment.
• Ability to thrive in a fast-paced, dynamic environment and manage multiple priorities effectively.
• Comfortable navigating ambiguity.
• Entrepreneurial mindset to bring best practice ideas to the team.
• Your standards reflect our core values: Growth Mindset, Disciplined Curiosity, Grit, Results Ownership, Collaboration.

Nice To Haves

• Current or past FINRA Series 6, 7, 24, 63, 65 and/or 66 certifications is a plus, but not required (Great Gray does not carry those certifications).
• Open to use of artificial intelligence to automate and leverage manual job processes and craft dashboard reports.

Responsibilities

• Tracking and reviewing advertising and sales literature involving institutional sales and marketing of CIT trust and administrative services and products, with a focus on marketing CIT product analytics.
• Assist with the design and development of and review updates to online product offerings, videos, client/conference presentations, and social media communications and postings for adherence to regulatory and internal requirements such as anti-fraud principles to ensure communications are accurate, fair and balanced, and not misleading.
• Partner with legal, marketing, product and sales groups to achieve business goals while adhering to acceptable risk parameters.
• Stay abreast of new laws, regulations, and industry trends, and recommend changes to policies and processes to incorporate evolving risk and compliance matters.
• Conduct compliance training to empower business to learn and implement best compliance practices in the creation of the marketing materials.
• The role is a hands-on position. A successful candidate will be eager and able to move seamlessly between shifting priorities and partner with the business to manage and achieve expectations. The candidate will be expected to be proactive in discerning how to teach and employ tools and guidance to empower our marketing partners to become more proficient in drafting materials that adhere to expectations surrounding fair and balanced regulatory concepts.
• Complete other related duties as assigned.

Benefits

• Be an integral part of an early-stage, high-growth organization!
• Hybrid work environment
• Competitive compensation package including 401(k) with elective and non-elective match opportunities
• Lifestyle spending allowance program
• Medical, Dental, Vision Insurance
• Employer-paid life and disability insurance
• Generous paid time off program

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Number of Employees: 51-100 employees