Compliance Analyst - Marketing/communications Review - Remote Eligible

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.