Compliance Analyst - Marketing/Communications Review

This position is posted by Jobgether on behalf of WisdomTree. We are currently looking for a Compliance Analyst - Marketing/Communications Review in New York, NY.

This role offers a unique opportunity to support the compliance and marketing functions within a dynamic financial services environment. The Compliance Analyst will be responsible for reviewing, approving, and ensuring regulatory compliance of all marketing and communications materials, ranging from client presentations to digital content. You will work closely with internal teams to interpret SEC and FINRA rules, provide guidance on regulatory requirements, and maintain accurate records of approved materials. The position requires both independent initiative and collaborative engagement, providing exposure to innovative financial products and regulatory best practices. It is ideal for someone seeking to expand their expertise in investment company compliance, advertising review, and financial communications oversight.

Accountabilities

As a Compliance Analyst, your responsibilities will include:

·         Review and approve product, fund, and marketing communications, including presentations, social media content, website material, factsheets, and RFP responses.

·         Ensure all communications comply with applicable SEC and FINRA regulations.

·         Collaborate with marketing and internal teams to implement, update, and refine policies and procedures.

·         Assist in developing and delivering employee training related to internal compliance procedures.

·         Maintain organized records of approved materials in accordance with SEC recordkeeping requirements.

·         Support testing of compliance policies and participate in ad hoc regulatory projects.

The ideal candidate combines compliance expertise with analytical skills and attention to detail:

·         1–3+ years of compliance experience, ideally 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, tokenized funds, or SEC-registered entities is a plus.

·         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.

·         Competitive base salary of $80,000–$95,000, plus discretionary annual bonus.

·         Comprehensive healthcare coverage (medical, dental, vision).

·         Retirement plan options.

·         Flexible work arrangements with a “Work Smart” philosophy.

·         Professional development and growth opportunities within a collaborative environment.

Jobgether is a Talent Matching Platform that partners with companies worldwide to efficiently connect top talent with the right opportunities through AI-driven job matching.

When you apply, your profile goes through our AI-powered screening process designed to identify top talent efficiently and fairly.
🔍 Our AI evaluates your CV and LinkedIn profile thoroughly, analyzing your skills, experience, and achievements.
📊 It compares your profile to the job’s core requirements and past success factors to determine your match score.
🎯 Based on this analysis, we automatically shortlist the 3 candidates with the highest match to the role.
🧠 When necessary, our human team may perform an additional manual review to ensure no strong profile is missed.

The process is transparent, skills-based, and free of bias — focusing solely on your fit for the role. Once the shortlist is completed, we share it directly with the company that owns the job opening. The final decision and next steps (such as interviews or additional assessments) are then made by their internal hiring team.

Thank you for your interest!

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