Compliance Analyst - Marketing/Communications Review

Jobgether
New York, NY
Job Description
This is a full-time remote Compliance Analyst position within WisdomTree, focusing on reviewing and approving regulatory compliance materials like marketing and communications. The role requires both independent initiative and collaboration, working with SEC and FINRA rules and internal teams. The company is a Talent Matching Platform.

Requirements

  • 1–3+ years of compliance experience in investment company or adviser marketing/advertising review.
  • Strong understanding of SEC and FINRA rules, including Sec 482, 34b-1, FINRA 2210/2212.
  • Experience reviewing materials related to ETFs, mutual funds, cryptocurrencies, or SEC-registered entities.
  • Excellent analytical, communication, and interpersonal skills.
  • Strong critical thinking, solution-oriented mindset, and organizational abilities.
  • Active or desired Series 6, 7, 24, or 26 licenses.

Benefits

  • Competitive base salary
  • Comprehensive healthcare coverage
  • Retirement plan options
  • Flexible work arrangements
  • Professional development and growth opportunities
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