Senior Compliance Advisor

Great Gray Trust Company; Wilmington (DE); Hybrid; USD 100,000 - 150,000; Full time

Benefits offered by this job

Competitive compensation with 401(k) matching

Lifestyle spending allowance

Employer-paid life insurance

Generous paid time off

Hybrid work environment

Job summary

A leading financial services firm is seeking a Senior Compliance Advisor to manage regulatory compliance across marketing initiatives. Responsibilities include tracking advertising materials, designing compliant product offerings, and conducting compliance training. The ideal candidate has a Bachelor's degree and 5–7 years of experience in compliance roles within investment management. This role offers a hybrid work environment and competitive compensation, including 401(k) matching opportunities.

Qualifications

• 5–7 years of experience in compliance analysis or regulatory roles.
• Experience reviewing marketing materials for investment products.
• Knowledge of marketing and performance rules for investment advisers.

Responsibilities

• Track advertising and sales literature for compliance.
• Review online product offerings for regulatory compliance.
• Stay updated on laws and recommend policy changes.
• Conduct compliance training to marketing partners.

Skills

Decision-making

Problem-solving

Analytical skills

Attention to detail

Excellent written communication

Excellent verbal communication

Entrepreneurial mindset

Ability to thrive under pressure

Education

Bachelor’s degree in Finance or Business Administration

Job description

Senior Compliance Advisor

Great Gray Trust Company

Great Gray Trust Company provides advanced retirement solutions. This role is part of the Risk and Compliance Department, reporting to the Chief Compliance Officer.

Base pay range: $100,000 – $150,000 per year. Salary includes annual incentive bonus.

Location: Boston, MA or Wilmington, DE. Hybrid work model: 4 days onsite, 1 day remote.

Visa: No visa sponsorship available.

Responsibilities

• Track and review advertising and sales literature for CIT trust and administrative services.
• Assist design and review of online product offerings, videos, presentations, and social media communications for regulatory compliance.
• Partner with legal, marketing, product and sales groups to achieve business goals within risk parameters.
• Stay abreast of new laws, regulations and industry trends; recommend policy changes.
• Conduct compliance training to empower marketing partners.
• Proactively manage priorities and collaborate with the business to ensure expectations are met.
• Complete other related duties as assigned.

Qualifications & Experience

• Bachelor’s degree, preferably in Finance, Business Administration or related field.
• 5–7 years of experience as a compliance analyst, legal analyst, paralegal, or regulatory professional, ideally in investment management or securities practice.
• Experience reviewing marketing materials for registered or unregistered investment products.
• FINRA certifications (Series 6, 7, 24, 63, 65, 66) is a plus, but not required.
• Open to using AI to streamline compliance processes and generate reports.
• Strong decision‑making, problem‑solving, analytical skills and attention to detail.
• Excellent written and verbal communication; ability to advocate with all levels of the organization.
• Entrepreneurial mindset and willingness to operate in a dynamic, high‑growth environment.
• Ability to thrive in a fast‑paced setting with multiple priorities.
• Knowledge of general marketing and performance rules for registered investment advisers.

Benefits

• Hybrid work environment
• Competitive compensation with 401(k) matching opportunities
• Lifestyle spending allowance program
• Employer‑paid life and disability insurance
• Generous paid time off program

Equal Employment Opportunity Statement

Great Gray, LLC is an Equal Opportunity Employer. Qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, marital status, protected veteran status, disability status or other non‑merit factors.

Accommodation Statement

Great Gray is committed to ensuring individuals with disabilities and/or special needs participate in the workforce and are afforded equal opportunity to apply and compete for jobs. For accessibility or accommodation requests, contact [e-mail].

Employment Classification

• Seniority level: Mid‑Senior Level
• Employment type: Full‑time
• Job function: Legal and Marketing