Compliance and Internal Audit Analyst

We are seeking a Compliance and Internal Audit Analyst to join our WisdomTree Digital Asset. Reporting to the Chief Compliance Officer, you will join us in envisioning, building, and operating technology and processes that seamlessly connect traditional financial platforms (e.g., ACH and Debit Card) with blockchain technology.

The Compliance and Internal Audit Analyst will play a key role in developing and continually enhancing the compliance testing program for written policies and procedures and other ad hoc compliance-related activities and projects across the applicable WisdomTree-regulated entities holding money transmitter licenses, NY chartered trust company license, and entities with SEC registrations (e.g., broker/dealer and transfer agent).

Primary responsibilities include development and end-to-end execution of a compliance testing program focusing on automation and continuous improvement. Additional responsibilities include acting as an Internal Audit liaison for outsourced audit functions and reviewing marketing materials.

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• Maintain an inventory of Compliance policies and procedures that align with both regulatory obligations and organizational objectives.
• Understand applicable policies and procedures across the organization.
• Strong collaboration and effective communications with applicable stakeholders to understand the scope of products and services to design the compliance testing plan.
• Develop and execute applicable tests to identify whether business units can demonstrate compliance with written policies and procedures.
• Identify potential gaps and working alongside business stakeholders to remediate gaps within an acceptable time.
• Prepare materials for readout at Risk Committees and Board meetings.
• Escalate issues with the Chief Compliance Officer and other senior leaders as applicable.
• Remain up to date on regulatory changes and new developments in the industry.
• Coordinate with the Marketing department and various other internal departments, personnel and business units to timely review and approve marketing communications.
• Ensure that all communications comply with applicable regulatory guidelines, including, where applicable, FINRA rules and regulations.
• Promote of compliance awareness through training and education.
• Demonstrate an enthusiastic attitude towards blockchain and digital assets.

• 5+ years of prior U.S. financial institution compliance and/or internal audit experience focused on end-to-end execution of compliance testing.
• 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 fast moving team.
• Bachelor’s Degree

About Us:

WisdomTree is a global financial innovator, offering a well-diversified suite of exchange-traded products (ETPs), models, solutions and products leveraging blockchain 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™.*

*The WisdomTree Prime digital wallet and digital asset services are made available through WisdomTree Digital Movement, Inc. (NMLS ID: 2372500), in select U.S. jurisdictions and may be limited where prohibited by law. Visit www.wisdomtreeprime.com or the WisdomTree Prime mobile app for more information. Foreside Fund Services, LLC, (FFS) is not affiliated with WisdomTree, Inc. and its subsidiaries. FFS does not provide digital wallet or digital asset services.

Work Smart:

Headquartered in New York City, WisdomTree embraces a “Work Smart” philosophy that transcends physical workspace, aiming to optimize productivity, efficiency and effectiveness. Employee time in the office generally is not prescribed, and team leaders are empowered to determine how their teams work best, based on their roles, which may include in-person, in-office engagement.

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.