Compliance Analyst - Marketing Review

GW&K Investment Management

Location: Boston, MA

Overview

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.

Key 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.

To apply: https://www.gwkinvest.com/our-firm/job/?gh_jid=4605285005