Edelman Financial Engines · 9 hours ago
Chief Compliance Officer
United States
Full-time
Remote
Director/Executive
$218K/yr - $291K/yr
15+ years expEdelman Financial Engines (EFE) is a leading independent financial planning and investment advisory firm dedicated to helping clients thrive with tailored financial advice. The Chief Compliance Officer (CCO) will manage the investment advisory compliance program, lead regulatory assessments, and develop a high-performing compliance team while ensuring adherence to the Investment Advisers Act of 1940.
ConsultingFinancial ServicesPersonal FinanceRetirement
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
Qualification
Required
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
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
Preferred
Understanding of ERISA
Benefits
Discretionary bonus
Health
Dental and other wellness plans
401(k) contributions
Company
Edelman Financial Engines
Edelman Financial Engines specializes in services concerning financial planning, retirement planning, personal finance and consulting.
Founded in 1986Boston, Massachusetts, USA
1001-5000 employees
Funding
Current Stage
Late StageTotal Funding
unknownKey Investors
Warburg Pincus
2021-03-15Private Equity
2012-04-16Acquired
Leadership Team
Ralph Haberli
Acting Chief Executive Officer
Suzanne van Staveren
Executive Vice President and Chief Financial Officer
Recent News
2025-12-10
2025-11-07
2025-10-15
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