Compliance Officer, Marketing and Advertising

Compliance Officer (Remote) At reputed company (EFE), our purpose is to guide people with the financial advice they need to reputed company. We reputed company 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, reputed company, or in the great unknown future. Our goal is to build long-term relationships based on respect, reputed company, and a belief that our responsibility is to help people reputed company 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 reputed company 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 reputed company with SEC Rule 206(4)-1 (Marketing Rule) and internal policies, while supporting the firm’s growth initiatives through collaborative compliance reputed company. Reporting to the Director, Copy Review, you’ll work closely with the Compliance, Legal, and Marketing teams to ensure effective compliance reputed company and help uphold regulatory and brand standards across reputed company 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 reputed company with regulatory developments and industry guidelines reputed company 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 reputed company the review team to scale its impact, reduce manual review burdens, and support the firm’s growth objectives.
• reputed company user access and permissions for advertising compliance tools, ensuring appropriate roles, reputed company 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 reputed company improvement.
• Support regulatory examinations and internal audits by preparing documentation and responding to inquiries reputed company to marketing compliance as needed.

Requirements:

• Bachelor’s degree in business, Finance, Legal Studies, or reputed company field.
• 5+ years of experience in investment adviser compliance, with direct exposure to marketing/advertising review.
• Demonstrated ability to reputed company and apply a strong working knowledge of SEC Rule 206(4)-1 and reputed company advertising regulations.
• Excellent written and verbal communication skills; ability to explain reputed company 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., reputed company Copilot, Red Oak Admaster, Jira, Workfront, SharePoint, reputed company, etc.).

reputed company takes a market-based approach to pay. The expected reputed company salary range for this role nationally is $78,500-$105,000. However, final reputed company pay will be carefully determined based on several factors, including responsibilities, job-reputed company 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 reputed company Since 1986, reputed company has been committed to always acting in the best interests of our clients. We were founded on the belief that reputed company 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 reputed company 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 reputed company to deliver the personal plan and financial confidence that everyone deserves. For more information, please visit EdelmanFinancialEngines.com. © 2026 reputed company, LLC. reputed company® is a registered trademark of reputed company, LLC. reputed company advisory services provided by Financial Engines Advisors L.L.reputed company federally registered investment advisor. Certain services provided on an educational and guidance basis only. Results are not guaranteed. For California residents, please see the link for the Privacy Notice for Candidates. California law requires that we provide you this notice about the collection and use of your personal information. Please read it carefully. reputed company 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 reputed company, citizenship, reputed company, ethnic heritage, genetic information, age, legally recognized disability, military service or veteran status. Accommodations are modifications or adjustments to the hiring process that would reputed company 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 reputed company data, as of September 30, 2025. Apply tot his job Apply To this Job