Job Purpose:

  • WisdomTree, an SEC-registered investment adviser and leading sponsor of Exchange Traded Funds (ETFs) is currently seeking a Marketing Compliance Officer for a promising opportunity within the Compliance Department
  • In this role, the Marketing Compliance Officer will be responsible for reviewing and approving all communications, including but not limited to: marketing materials; custom requests, factsheets; PowerPoint presentations, request for proposals; due diligence questionnaires; website content; and, electronic communications.
  • The position requires prior mutual fund, variable annuity and/or ETF advertising/marketing review experience
  • The ideal candidate will have the ability to research and interpret new rules and regulations, a solid knowledge of financial services products, the ability to prioritize a high volume of reviews, excellent communication and interpersonal skills, and must work well both independently and as part of a team.
  • Demonstrated organizational and time management skills in a fast-paced, high energy environment are required.

Your Responsibilities:

  • Coordinate with the Marketing department and various other internal departments, personnel and business units in order to timely review and approve all communications
  • Ensure that all communications comply with applicable regulatory guidelines in accordance with SEC, FINRA, NFA, CFTC, GIPS rules, laws and regulations
  • Provide assistance relative to the overall compliance monitoring program by providing updates to policies and procedures and by conducting periodic training as necessary
  • Assist in conducting testing of various policies and procedures
  • Maintain the records of all approved materials as per SEC recordkeeping rules and internal policies and procedures
  • Work closely with the Compliance Team and assist in any other compliance-related functions and ad hoc projects.

Skills and Qualifications:

  • 5+ years of relevant marketing/advertising review and compliance experience
  • Bachelor’s Degree
  • Proficient in the rules and requirements of FINRA and the Securities Act of 1934 as it relates to communications with the public
  • Knowledgeable of the Investment Advisers Act of 1940 and Investment Company Act of 1940 as it relates to marketing, advertising, and sales material
  • Microsoft Excel proficient
  • Solid analytical and communication skills (written and verbal)
  • Great interpersonal skills
  • Strong attention to detail
  • Highly organized.

Source: for more information click here.

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