Senior Compliance Advisor – Sales & Marketing Collateral
Great Gray Trust Company
full-time
Posted on:
Location Type: Hybrid
Location: Boston • Massachusetts • 🇺🇸 United States
Visit company websiteSalary
💰 $100,000 - $150,000 per year
Job Level
Senior
About the role
- 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.
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.
- 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.
- 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.
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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
regulatory compliancemarketing materials reviewrisk evaluationdecision-makingproblem-solvinganalytical skillsattention to detailartificial intelligencedashboard reporting
Soft skills
organizational skillsindependencequality maintenanceflexibilitycommunication skillsadvocacyentrepreneurial mindsetability to navigate ambiguityability to manage multiple priorities
Certifications
FINRA Series 6FINRA Series 7FINRA Series 24FINRA Series 63FINRA Series 65FINRA Series 66