Envestnet · 3 hours ago
Marketing Compliance Director
Berwyn, PA
Full-time
Hybrid
Mid, Senior Level
5+ years expEnvestnet is a leading financial technology and solutions company transforming the delivery of financial advice. The Marketing Compliance Director is responsible for overseeing and approving marketing materials to ensure compliance with industry regulations, collaborating with various teams to maintain best practices and resolve compliance issues.
Financial ServicesFinTechWealth Management
Responsibilities
Review and approve all marketing, advertising, and sales materials to ensure compliance with applicable regulations and firm policies
Serve as the designated principal/approver, ensuring all communications are fair, balanced, and not misleading
Provide guidance to marketing teams on regulatory requirements for content, format, and disclosures in various media (print, digital, broadcast, social)
Coordinate with compliance, legal, and business units to implement best practices and resolve issues related to marketing materials
Maintain records of approvals and submissions in accordance with regulatory and firm retention requirements
Monitor rule updates and regulatory changes, communicating relevant impacts to stakeholders
Participate in internal audits and regulatory examinations as the subject matter expert on marketing compliance
Train staff on marketing regulations and firm policies
Adherence to and application of Envestnet legal, compliance, risk, business continuity and administrative policy within the role and department(s) including the timely completion of training & awareness, affirmations and testing as requested
As part of the responsibilities for this role, you will understand and readily support Envestnet's established corporate business practices, policies, internal controls and procedures designed to create value or minimize risk
Qualification
Required
Bachelor's degree in marketing, business, finance, or related field
5+ years' experience in compliance, marketing review, or related role within an RIA and/or FINRA-regulated organization
Thorough understanding of marketing rules
Strong analytical skills and attention to detail
Excellent written and verbal communication abilities
Ability to work collaboratively and manage multiple priorities in a fast-paced environment
Preferred
Series 63/66/65 and Series 24 license (General Securities Principal) preferred
Knowledge of securities regulations, laws, including those related to alternatives and cryptocurrency
Experience with digital marketing compliance, including web, email, and social media platforms
Familiarity with SEC, state, and other regulatory requirements affecting financial services marketing
Proficiency with compliance workflow systems (RedOak, HearSay, etc.)
Benefits
Health Benefits (Health/Dental/Vision)
Paid Time Off (PTO) & Volunteer Time Off (VTO)
401K – Company Match
Annual Bonus Incentives
Parental Stipend
Tuition Reimbursement
Student Debt Program
Charitable Match
Wellness Program
Company
Envestnet
Envestnet provides integrated technology, intelligent data, and wealth solutions to registered investment advisors, banks, and dealers.
1001-5000 employees
H1B Sponsorship
Envestnet has a track record of offering H1B sponsorships. Please note that this does not
guarantee sponsorship for this specific role. Below presents additional info for your
reference. (Data Powered by US Department of Labor)
Distribution of Different Job Fields Receiving Sponsorship
Represents job field similar to this job
Trends of Total Sponsorships
2025 (21)
2024 (38)
2023 (29)
2022 (40)
2021 (49)
2020 (27)
Funding
Current Stage
Public CompanyTotal Funding
$1.42BKey Investors
Impactive CapitalBlackRockKeystone Capital
2024-07-11Acquired
2022-11-15Post Ipo Debt· $575M
2022-03-31Post Ipo Equity· $289.4M
Leadership Team
Chris Todd
Chief Executive Officer
Brandon Thomas
Co-Founder & Chief Information Officer
Recent News
2026-01-22
2026-01-11
2026-01-08
Company data provided by crunchbase