Compliance Analyst - Marketing/Communications R...

@ Jobgether

Compliance Analyst - Marketing Review

This position is posted by Jobgether on behalf of WisdomTree. We are currently looking for a Compliance Analyst - Marketing Review in New York, NY. This role offers a unique opportunity to support compliance and marketing functions within a dynamic financial services environment.

Responsibilities

• Review and approve product, fund, and marketing communications (presentations, social media content, website material, factsheets, RFP responses).
• Ensure compliance with SEC and FINRA regulations.
• Collaborate with marketing and internal teams to update policies and procedures.
• Assist in developing and delivering employee compliance training.
• Maintain organized records as per SEC recordkeeping requirements.
• Support compliance testing and participate in ad hoc regulatory projects.

Candidate Profile

The ideal candidate has 1–3+ years of compliance experience, preferably in investment company or adviser marketing/advertising review, with a strong understanding of SEC and FINRA rules (including Sec 482, 34b-1, FINRA 2210/2212). Experience with ETFs, mutual funds, cryptocurrencies, or tokenized funds is a plus. Active or desired Series 6, 7, 24, or 26 licenses are beneficial.

Compensation & Benefits

• Competitive base salary between $80,000 and $95,000 plus discretionary bonus.
• Comprehensive healthcare coverage (medical, dental, vision).
• Retirement plan options and professional development opportunities.
• Flexible work arrangements with a “Work Smart” philosophy.

About the Selection Process

Jobgether uses an AI-driven screening process that evaluates your CV and LinkedIn profile against the role’s requirements. Top candidates are shortlisted and forwarded to WisdomTree’s internal hiring team for final decision and next steps.

Key skills/competency

• Compliance
• Marketing
• SEC
• FINRA
• Regulatory
• Review
• Advertising
• Recordkeeping
• Training
• Analytical