Back to jobs

Compliance Analyst - Marketing Review

Boston, MA

Summary

The Compliance Analyst - Marketing Review will contribute to the day-to-day administration of GW&K’s Compliance Program with a primary focus on marketing material review including responsibility for compliance with the SEC’s Rule 206(4)-1, GW&K’s internal controls, policies and procedures and other regulatory requirements as applicable. The Compliance Analyst will collaborate with GW&K’s Legal & Compliance, Marketing and Sales teams to facilitate timely and thorough reviews of marketing collateral.

Responsibilities

  • Design, implement, and continuously enhance processes for reviewing marketing materials (including but not limited to, Fact Sheets, pitch books, web content, social media posts and third-party marketing materials) and client communications to ensure compliance with the Investment Advisers Act and other applicable securities regulations.
  • Lead day-to-day efforts to review marketing content, ensuring alignment with SEC and other applicable regulatory standards.
  • Prepare and review a wide range of client deliverables, including RFPs, DDQs, client certifications and related reporting obligations.
  • Respond to questions regarding compliance with the marketing rule and internal policies.
  • Support GW&K audit and regulatory examination response processes, when applicable.
  • Develop and conduct Compliance Program training for employees.
  • Perform additional compliance-related duties and projects as assigned.

Qualifications

  • Bachelor’s degree with 5+ years of relevant experience at an investment management firm with a focus on marketing and advertising review.
  • Knowledge of Investment Advisers Act and related SEC regulations of investment advisers, with specific experience applying Rule 206(4)-1.
  • General knowledge of compliance program requirements for SEC registered investment advisers.
  • Working knowledge of municipal bond, equity and taxable bond asset classes.
  • Previous experience reviewing marketing materials produced for retail clients, institutional clients and funds.
  • Demonstrated attention to detail, organizational skills and ability to effectively prioritize autonomously and follow through to meet time sensitive requests.
  • Ability to develop strong working relationships while thriving in a collaborative team environment.
  • Strong written and verbal communication and interpersonal skills.
  • Proficiency in Microsoft products, financial services tools and willingness to learn in-house applications and systems.
  • Experience with regulatory AI tools and applications is a plus.

This position follows a hybrid schedule, with 4 days per week in our Boston office and 1 day remote.

GW&K Investment Management is an equal opportunity employer and provides equal employment opportunities to all associates and applicants for employment without regard to gender, race, color, national origin, ancestry, pregnancy, marital status, religion, age, disability, veteran status, sexual orientation, genetic information, or any other characteristic protected under applicable federal, state or local laws.

Create a Job Alert

Interested in building your career at GW&K Investment Management, LLC? Get future opportunities sent straight to your email.

Apply for this job

*

indicates a required field

Resume/CV*

Accepted file types: pdf, doc, docx, txt, rtf

Education

Select...
Select...
Select...
Select...
Select...

This is a hybrid position requiring 4 days per week in our Boston office, with the option to work remotely 1 day per week.

Select...
Select...
Select...

I hereby give permission for GW&K Investment Management (GW&K) to examine my experience, educational and business qualifications, and authorize GW&K to contact all or any of the employers, educational institutions and other references provided. I further authorize my previous employers and references to provide all information requested by GW&K, and hereby release and hold harmless all persons and entities, including GW&K, from liability in doing so. In addition, I understand that consistent with its industry obligations, GW&K conducts background checks on all new hires, and if I am offered and accept employment with GW&K, I understand and agree to comply with this process.

Select...

I certify that I have provided truthful and complete responses to all inquiries on this application and understand that discovery of any falsification, omission or misleading statement may result in the denial of employment or, if I am already employed when such statement is discovered, immediate termination of my employment.

Select...

In the event I am employed by GW&K, I agree to comply with all Company rules and policies, including GW&K’s requirement that all secondary employment and certain outside activities be disclosed to the Company in order to determine if such employment or activities conflict with my duties to GWK.

Select...

I understand that employment at GW&K is terminable 'at-will', which means that the employment relationship may be terminated by either me or the Company at any time and for any reason not prohibited by law. I understand that nothing in this application or in any discussion or offer of employment creates a contract betweenmyself and GW&K, and that no supervisor or representative of GW&K has the authority to enter into an oral agreement to employ me for any specified period of time.

Select...

I understand that the Immigration Reform and Control Act of 1986 requires that if I am hired, I must furnish within 72 hours of commencing employment appropriate documentation to the Company establishing my identity and right to work in the United States.

U.S. Standard Demographic Questions

We invite applicants to share their demographic background. If you choose to complete this survey, your responses may be used to identify areas of improvement in our hiring process.
Select...
Select...
Select...
Select...
Select...
Select...