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Hybrid Compliance Analyst - Marketing/Communications Review

Wisdomtree · Hybrid - New York, United States Of America · Hybrid

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We are seeking a Compliance Analyst for a promising opportunity within the Compliance Department. In this role, the Compliance Analyst will be responsible for reviewing and approving all types of product/fund communications, including but not limited to custom requests, due diligence questionnaires, factsheets, offshore marketing materials, presentations, requests for proposals, social media related materials, and website content.
Candidates with prior FINRA advertising review experience and a familiarity with applicable FINRA and SEC rules is preferred. Additional experience with ETFs, mutual funds, cryptocurrencies, tokenized funds, and SEC registered investment adviser and broker/dealer compliance programs is helpful.
The ideal candidate will have the experience described above as well as experience researching and interpreting new rules and regulations, a solid knowledge of financial services products (specifically investment companies), excellent critical thinking skills, a solution minded approach, the ability to prioritize a high volume of activities, excellent communication and interpersonal skills, and must work well both independently and as part of a team.

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