Edelman Financial Engines · 18 hours ago
Compliance Officer
United States
Full-time
Remote
Mid, Senior Level
$78K/yr - $105K/yr
5+ years expEdelman Financial Engines is dedicated to providing comprehensive financial planning and investment advice to clients. They are seeking a skilled Compliance Officer to ensure the firm's marketing materials comply with SEC regulations while supporting growth initiatives through compliance oversight.
ConsultingFinancial ServicesPersonal FinanceRetirement
Responsibilities
Assist and collaborate with senior team members with the review and approval of marketing and advertising materials (e.g., websites, social media, presentations, brochures, email campaigns, webinars, podcasts, etc.) for compliance with SEC regulations and firm policies
Stay current with regulatory developments and industry guidelines related to advertising and communications to maintain and enhance advertising review reference materials and documentation
Provide support to Compliance team in their engagement with key business stakeholders including Legal, Marketing, Operations, and Service Delivery
Champion the adoption of intelligent tools and automation strategies that enable the review team to scale its impact, reduce manual review burdens, and support the firm’s growth objectives
Lead user access and permissions for advertising compliance tools, ensuring appropriate roles, security protocols, and workflow configurations are maintained across the review platform
Monitor published materials for ongoing compliance and conduct periodic audits of public-facing content
Track and report on advertising review, trends, and risk indicators to help support continuous improvement
Support regulatory examinations and internal audits by preparing documentation and responding to inquiries related to marketing compliance as needed
Qualification
Required
Bachelor's degree in business, Finance, Legal Studies, or related field
5+ years of experience in investment adviser compliance, with direct exposure to marketing/advertising review
Demonstrated ability to develop and apply a strong working knowledge of SEC Rule 206(4)-1 and related advertising regulations
Excellent written and verbal communication skills; ability to explain complex regulatory concepts to non-compliance stakeholders
High attention to detail, organizational skills, and ability to prioritize
Experience with and/or technical ability to learn compliance and corporate workflow tools systems (e.g., Microsoft Copilot, Red Oak Admaster, Jira, Workfront, SharePoint, FIGMA, etc.)
Benefits
Discretionary bonus
Health
Dental and other wellness plans
401(k) contributions
Company
Edelman Financial Engines
Edelman Financial Engines specializes in services concerning financial planning, retirement planning, personal finance and consulting.
Founded in 1986Boston, Massachusetts, USA
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Warburg Pincus
2021-03-15Private Equity
2012-04-16Acquired
Leadership Team
Ralph Haberli
Chief Executive Officer
David Goldberg
SVP, Chief Data and Analytics Officer
Recent News
2026-01-22
Company data provided by crunchbase