Great Gray Trust Company · 4 weeks ago
Senior Compliance Advisor
Wilmington, DE
Full-time
Hybrid
Senior Level
$100K/yr - $150K/yr
5+ years expGreat Gray Trust Company is a leader in the retirement services industry, focused on delivering advanced retirement solutions. They are seeking a Senior Compliance Advisor to manage risk in the marketing and sales of trust and fiduciary products and services, ensuring compliance with regulatory standards.
Asset ManagementFinancial ServicesRetirement
No H1B
Hiring Manager
Nathan Wilson
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
Qualification
Required
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
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
Preferred
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)
Benefits
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
Company
Great Gray Trust Company
Great Gray Trust Company offers Collective Investment Trusts focused on retirement investments and acts as trustee for Great Gray Funds.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Rob Barnett
President & Chief Executive Officer
Recent News
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