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Form of work WisdomTree is seeking a Compliance Officer (Junior/Mid-Level) for a promising and exciting opportunity within the Digital Assets team.
In this role, the Compliance Officer will be responsible for reviewing and approving all blockchain-enabled mutual fund and digital/tokenized asset-related marketing and advertising communications, including but not limited to marketing collateral; social media content, website content; and other electronic communications.
The Compliance Officer will also work closely with the Chief Compliance Officer and assist with testing written policies and procedures and other ad hoc compliance-related activities and projects across the applicable WisdomTree-regulated entities (including an entity with money transmitter licenses, a NY chartered trust company, and entities with SEC registrations (investment adviser, broker/dealer and transfer agent).
Success in this role would be observed by:
- Coordinating with the Marketing department and various other internal departments, personnel and business units to timely review and approve marketing communications.
- Ensuring that all communications comply with applicable regulatory guidelines, including, where applicable, FINRA rules and regulations.
- Assisting with testing compliance policies and procedures and ad hoc projects.
- Collaborating with personnel across functional areas to detect and mitigate compliance risks.
Experience and Required skill set:
- Bachelor's Degree from a 4-year college or university.
- Prior U.S. financial product compliance experience and/or marketing review experience a major plus, including FINRA, Investment Advisers Act of 1940, and Investment Company Act of 1940, although willing to train a bright, motivated, and eager-to-learn candidate.
- Outstanding ability to interact positively with colleagues across the firm.
- Excellent analytical, interpersonal and communication skills (written and verbal).
- Strong attention to detail and time management skills.
- Highly organized with the ability to prioritize multiple projects.
- Ability to work both independently and as part of a team.
$60,000 - $70,000 a year
The base salary range for this position is $60,000 - $70,000. In addition, employees are eligible for an annual discretionary bonus and competitive benefits package. Total compensation may vary based on factors such as location, role, company, department, experience and individual performance.
About Us:
WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain-enabled technology. We empower investors and consumers to shape their future and support financial professionals to better serve their clients and grow their businesses. WisdomTree is leveraging the latest financial infrastructure to create products that provide access, transparency and an enhanced user experience. Building on our heritage of innovation, we are also developing and have launched next-generation digital products, services and structures, including digital or blockchain-enabled mutual funds and tokenized assets, as well as our blockchain-native digital wallet, WisdomTree Prime.
Work Smart:
WisdomTree is a Work Smart organization headquartered in New York City. Employees will have the flexibility, and, subject to their position, may be required to report into the office on occasion.
Mission, Vision & Values:
WisdomTree is committed to delivering a better investment and financial experience through the quality of our products and solutions, and finding alignment within our community on our core values: WisdomTree employees strive for Excellence & Innovation, work with Transparency & Accountability, and show each other Fairness & Respect. We welcome the applications of qualified individuals who will support this mission and thrive in our collaborative and empowering work environment.
Learn more at www.wisdomtree.com
WisdomTree is proud to be an Equal Opportunity Employer, committed to diversity and consideration of all applicants and existing employees for all positions, and we evaluate qualified applicants without regard to race, color, religion, creed, sex, gender, age, national origin or ancestry, ethnicity, physical or mental disability, veteran status, marital status, sexual orientation, pregnancy, citizenship status, genetic information, or any other status or condition protected by applicable law.
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