Senior Compliance Officer - Advertising and Marketing Review
Edelman Financial Engines
Location: Remote
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
* 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
* Knowledge of the Investment Advisers Act and relevant rules and regulations associated with operating as a federally registered investment advisor
* 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.