Senior Compliance Advisor; Sales & Marketing Collateral

Why Great Gray?

At Great Gray Group, we strive to set the bar for the retirement services industry. Our goal is to deliver advanced retirement solutions that combine our core fiduciary services with robust investment options, innovative technology, and dedicated client service. We focus on making choices clearer, transitions smoother, and the client experience more delightful. Complacency is not in our vocabulary. Every day, we look for opportunities to better serve our clients, be an excellent business partner, and earn the trust of those who rely on us.

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.

This position can work from our office locations in Boston, MA or Wilmington, DE. Great Gray currently supports a hybrid work model with 4 days onsite in the office and 1 day remote.

Visa sponsorship or transfer of an existing visa is not available for this position. Applicants must be authorized to work directly for any employer in the United States without visa sponsorship or transfer.

• 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…