Compliance Specialist

Edelman Financial Engines

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 Compliance Officer, you’ll play a pivotal role in continuing to strengthen the Company’s culture of compliance through your knowledge of securities registration, insurance licensing, and Code of Ethics requirements. You will coordinate the registration and licensing process with employees to ensure individuals are properly registered and licensed, assist in the completion of continuing education, monitor for disclosures and deficiencies, anticipate and resolve registration and licensing problems, and assist in the administration of the Code of Ethics program.

The ideal candidate will have a proven record in their knowledge of federal and state registrations and licensing requirements while effectively establishing strong policies and procedures.

If you are a problem solver with a focus on the details and the strong ability to communicate across a fast-paced and growing company, this may be an ideal match for you!

Responsibilities:

- Handle all details related to securities registrations and insurance licensing of the firm and associated individuals

- Assist in the administration, tracking, and completion of the firms Code of Ethics program

- Accurately analyze and track insurance license, securities registration, and professional designations continuing education requirements and completion

- Coordinate timely renewal payments for the firm’s securities and insurance obligations

- Deliver accurate and prompt responses related to employee registrations, licensing, and Code of Ethics questions

- Work closely with business partners to address questions that arise in normal course of business which have compliance or regulatory relevance

- Design effective policies and procedures for accurate and effective registrations, licensing, and Code of Ethics programs

Requirements:

- A minimum of 4 years direct registrations and licensing experience at a financial services firm and/or a federally registered investment adviser

- Deep knowledge of insurance licensing and investment adviser registration rules and requirements

Ability to analyze state and federal regulatory changes and implement policies and procedures to mitigate those changes

- Excellent attention to detail, documentation, and organizational skills

- Bachelor’s degree required