Edelman Financial Engines

Location: Remote

Overview

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.). 

To apply: Indeed: https://jobs.jobvite.com/edelmanfinancialengines/job/owEhzfwK