The Compliance Analyst will review and approve marketing communications, ensuring compliance with SEC and FINRA regulations, while coordinating with the Marketing department.
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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Success in this role would be achieved by:
- Coordinate with the Marketing department and various other internal departments, as part of reviewing communication, marketing, and advertising materials.
- Ensure that all communications comply with applicable regulatory requirements and guidelines pursuant to SEC and FINRA requirements.
- Provide input and assistance relative to the implementation of new policies/procedures and with updating/revising existing policies/procedures as necessary.
- Assist with developing and providing training for employees as it relates to internal policies/procedures.
- Maintain records of approved advertising/marketing materials pursuant to SEC recordkeeping rules.
- Assist with testing policies/procedures.
- Participate in ad hoc projects as needed.
Experience and required skill set:
- 1-3+ years of compliance experience
- Investment Company & Investment Adviser marketing/advertising review experience
- Active Series 6, 7, 24 or 26
- Understanding of applicable FINRA and SEC rules relative to advertising/marketing and sales related communications. (e.g. Sec 482, 34b-1, FINRA 2210, 2212, etc.)
- Solid analytical and communication skills (written and verbal)
- Highly developed critical thinking and interpersonal skills
- Strong attention to detail and highly organized
About Us:
WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime® and institutional platform, WisdomTree Connect™.*
*The WisdomTree Prime digital wallet and digital asset services and WisdomTree Connect institutional platform are made available through WisdomTree Digital Movement, Inc., a federally registered money services business, state-licensed money transmitter and financial technology company (NMLS ID: 2372500) or WisdomTree Digital Trust Company, LLC, in select U.S. jurisdictions and may be limited where prohibited by law. WisdomTree Digital Trust Company, LLC is chartered as a limited purpose trust company by the New York State Department of Financial Services to engage in virtual currency business. Visit https://www.wisdomtreeprime.com, the WisdomTree Prime mobile app or https://wisdomtreeconnect.com for more information.
Work Smart:
Headquartered in New York City, WisdomTree embraces a “Work Smart” philosophy that transcends physical workspace, aiming to optimize productivity, efficiency and effectiveness. Employee time in the office generally is not prescribed, and team leaders are empowered to determine how their teams work best, based on their roles, which may include in-person, in-office engagement.
Mission, Vision & Values:
WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment.
Learn more at www.wisdomtree.com
WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.
Top Skills
Advertising Review
Blockchain Technology
Digital Assets
Finra Rules
Investment Company Compliance
Sec Rules
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