Senior Compliance Officer - Copy Review
Edelman Financial Engines
Location: Boston, MA; Fairfax, VA; Overland Park, KS; or Remote
At Edelman Financial Engines, we believe everyone deserves to move their financial life forward.
We know that assets have the power to fund goals. Those numbers represent individual lifetimes filled with hard work and dreams for our clients and generations to follow. Our clients trust us to guide them forward with empathy, integrity, and invention. We uphold that same standard of respect and commitment for clients and colleagues alike.
Founded on the idea that financial education is a fundamental right for everyone—not just the wealthy, Edelman Financial Engines continues to grow and challenge the status quo. We’re moving forward, together. If our purpose-driven commitment inspires you, we invite you to consider joining our team!
As a Senior Compliance Officer, you’ll play a pivotal role in continuing to strengthen the Company’s culture of compliance with a focus on the Firm’s marketing and copy review function. This role is a blended balance of interpreting technical regulatory and legal obligations of a registered investment advisor and applying it to the Firm’s product and service offerings in a way that connects with marketers and creators while balancing risk.
The role requires effective communication, collaboration and teamwork with marketers, creators, and key business partners. We are looking for someone who has a passion for helping through clear, concise, actionable guidance, and collaboration on innovative and realistic solutions that further enterprise objectives. The ideal candidate will have a proven track record of building effective relationships with business partners at all levels. If you can influence others, operate in a fast-paced environment at a growing company and you’re a creative problem solver, this may be the opportunity for you!
Responsibilities:
* Effectively communicate and build strong, proactive business relationships with key stakeholders at various levels of EFE across the organization.
* Review and approve advertising, marketing copy and other communications pursuant to Investment Adviser regulatory rules and regulations.
* Communicate and educate effectively regarding the review of collateral and key initiative items including but not limited to, seminars, websites, website pages, promotional materials, press releases, educational materials, webinars, articles, social media, client communications, RFP’s, newsletters, etc.
* Ongoing collaboration with the Legal and copy review team on analyses of existing and evolving regulatory and legal obligations relevant to federally registered investment advisors to determine impact on current practices, policies and procedures at the Firm. Work with relevant business partners to implement changes as applicable.
* Deliver accurate, clear, and actionable compliance advisory support and regulatory guidance to business partners on a wide range of topics, including regulatory expectations, and resulting impact on current and proposed products, services, and marketing initiatives.
* Design, implement and sustain compliance processes as needed.
Requirements:
* A minimum of 7 years proven experience at a financial services firm and/or federally registered investment advisor
* Knowledge of the Investment Advisers Act and relevant rules and regulations associated with operating as a federally registered investment advisor
* Demonstrated strong relationship management skills with internal clients (e.g., leaders, peers and colleagues); proven ability to develop creative and collaborative approaches and solutions
* Finds common ground and can gain collaboration among internal clients; can influence outcomes through relationship building
* Strong technical skills with new technology, software systems and applications for advertising review, remote collaboration, training, and information management platforms
* Well-rounded business experience that includes experience with Legal, Compliance, Marketing, and related business experience is a plus
* Detail-orientated, organized, conscientious, and energetic professional with the ability to think creatively and execute on projects in fast paced environment
* Bachelor’s degree required
Since 1986, Edelman Financial Engines has been committed to always acting in the best interests of our clients. We were founded on the belief that all investors – not just the wealthy – deserve access to personal, comprehensive financial planning and investment advice. Today, we are America’s top independent financial planning and investment advisory firm, recognized by Barron’s,1 with 145+ offices2 across the country and entrusted by more than 1.3 million clients to manage more than $242 billion in assets.3 Our unique approach to serving clients combines our advanced methodology and proprietary technology with the attention of a dedicated personal financial planner. Every client’s situation and goals are unique, and the powerful fusion of high-tech and high-touch allows Edelman Financial Engines to deliver the personal plan and financial confidence that everyone deserves.
For more information, please visit EdelmanFinancialEngines.com.
© 2023 Edelman Financial Engines, LLC. Edelman Financial Engines® is a registered trademark of Edelman Financial Engines, LLC. All advisory services provided by Financial Engines Advisors L.L.C., a federally registered investment advisor. Results are not guaranteed. See EdelmanFinancialEngines.com/patent-information for patent information. AM2789819
For California residents, please see the link for the Privacy Notice for Candidates. California law requires that we provide you this notice about the collection and use of your personal information. Please read it carefully.
Edelman Financial Engines encourages success based on our individual merits and abilities without regard to race, color, religion, creed, sex, gender identity or expression, sexual orientation, pregnancy; marital, domestic partner or civil union status; national origin, citizenship, ancestry, ethnic heritage, genetic information, age, legally recognized disability, military service or veteran status.
Accommodations are modifications or adjustments to the hiring process that would enable you to fully participate in that process. If you need assistance to accommodate a disability, you may request one at any time by either contacting your recruiter or HRQ@EdelmanFinancialEngines.com.
1 The Barron’s 2022 Top 100 RIA Firms list, a seven-year ranking of independent advisory firms, is qualitative and quantitative, including assets managed by the firms, technology spending, staff diversity, succession planning and other metrics. Firms elect to participate but do not pay to be included in the ranking. Ranking awarded each September based on data within a 12-month period. Compensation is paid for use and distribution of the rating. Investor experience and returns are not considered. The 2018 ranking refers to Edelman Financial Services, LLC, which combined its advisory business in its entirety with Financial Engines Advisors L.L.C. (FEA) in November 2018. For the same survey, FEA received a precombination ranking of 12th.
2 Edelman Financial Engines data, as of Dec. 31, 2022.
3 Edelman Financial Engines data, as of Dec. 31, 2022.