Compliance Officer

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.

We are seeking a skilled and proactive Compliance Officer to join our Compliance team with a focus on Marketing & Advertising Review. This role is ideal for mid-career professionals with prior experience in investment adviser compliance, particularly in reviewing client-facing communications and marketing. The Compliance Officer will play a key role in ensuring our firm’s marketing materials comply with SEC Rule 206(4)-1 (Marketing Rule) and internal policies, while supporting the firm’s growth initiatives through collaborative compliance oversight. 

Reporting to the Director, Copy Review, you’ll work closely with the Compliance, Legal, and Marketing teams to ensure effective compliance oversight and help uphold regulatory and brand standards across all advertising materials.

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. 

Requirements:

• 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.). 

Edelman Financial Engines takes a market-based approach to pay. The expected base salary range for this role nationally is $78,500-$105,000. 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. Recognized by Barron’s as a top RIA firm for eight years in a row (awarded each September (2018-2025) based on prior 12-month data through June 30)1, we support more than 1.3 million clients across 140+ offices nationwide and manage over $324 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. 

© 2026 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. Certain services provided on an educational and guidance basis only. Results are not guaranteed.  

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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 Top 100 RIA Firms list, an annual ranking of independent advisory firms, is based on qualitative and quantitative criteria. Firms elect to participate but do not pay to be included in the ranking. 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 September 30, 2025.