Senior Compliance & Marketing Risk 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

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.