Chief Compliance Officer

Chief Compliance Officer (Remote)

At Edelman Financial Engines (EFE), our purpose is to guide people with the financial advice they need to thrive. 

We believe that every dollar saved represents a lifetime of hard work and aspirations, and every dollar invested has job to do for our clients. That’s why we are committed to managing our clients’ investments by truly understanding them as people first and then delivering advice, strategies and solutions to help them feel confident about the plans they are making, whether for today, tomorrow, or in the great unknown future. Our goal is to build long-term relationships based on respect, integrity, and a belief that our responsibility is to help people make smart investments decisions in every stage of their lives.

Our culture is grounded in our CORE values: Client First, One Team, Respectful Candor, and Endless Curiosity. These values guide everything we do, for our clients and each other. We are committed to moving forward together. If you are inspired by purpose-driven work and a collaborative, values-led culture, we invite you to explore a career with us.

As Chief Compliance Officer (CCO), reporting to the Chief Legal and Risk Officer, you will manage and be responsible for the investment advisory compliance program of an investment advisory firm registered with the SEC under the Investment Advisers Act of 1940 with more than $300B in AUM. The CCO will be a thoughtful, credible and savvy business partner across the organization as it responds to an ever-changing regulatory environment and continued growth. Candidates who have worked within the areas of retirement plans and retail advisory will be given heightened consideration, as will candidates with regulatory experience (SEC, FINRA) and a law degree.

In addition to an earnest desire to help people, we are looking for the ideal candidate to compliment the team’s existing talents. For the CCO role, we are seeking a candidate with comprehensive industry knowledge and the ability to lead our Compliance function toward continued improvement.  If you are an innovative thinker with the ability to lead a high performing Compliance Team, this may be an opportunity for you!

Responsibilities:

• Own and evolve EFE’s investment advisory compliance program under the Investment Advisers Act of 1940.
• Lead regulatory risk assessments and ensure effective policies, procedures, and controls.
• Oversee regulatory filings, disclosures (including Form ADV), marketing review, and IAR registrations.
• Prepare and present compliance reporting to senior management and the Board.
• Serve as primary lead for SEC exams, inquiries, and regulatory engagement.
• Partner with leadership on new products, services, and initiatives to identify and mitigate compliance risk.
• Build, lead, and develop a high-performing compliance team.
• Champion a strong compliance culture through training, communication, and continuous improvement.

Requirements:

• 15+ years in the investment management industry, including at least 5 years in a senior compliance role (ideally CCO).
• Deep expertise in the Investment Advisers Act of 1940; understanding of ERISA preferred.
• Experience engaging directly with regulators such as SEC and FINRA.
• Proven ability to influence senior leaders and operate as a trusted business partner.
• Strong judgment, integrity, and comfort navigating ambiguity in a fast-growing organization.

Edelman Financial Engines takes a market-based approach to pay. The expected base salary range for this role nationally is $218,000 - $291,000. However, final base pay will be carefully determined based on several factors, including responsibilities, job-related skills, relevant experience, geographic location, and market conditions. Additionally, this role may be eligible for other forms of compensation and benefits, such as a discretionary bonus, health, dental and other wellness plans, and 401(k) contributions.

Your recruiter can share more about the specific benefits eligible for this role during the hiring process.

About Edelman Financial Engines

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 143+ offices across the country and entrusted by 1.3 million clients to manage more than $300 billion in assets 2 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.

© 2024 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

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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 [email protected].

1 The Barron’s 2024 Top 100 RIA Firms list, a nine-year annual ranking of independent advisory firms, is based on qualitative and quantitative factors. Firms elect to participate but do not pay to be included in the ranking. The 2024 ranking refers to Edelman Financial Engines as the top mega RIA.

2 Edelman Financial Engines data, as of September 30, 2024.