VP Chief Compliance Officer

Financial Engines has an opening for its Chief Compliance Officer position, reporting to the General Counsel, and based either in Sunnyvale, CA or Boston, MA. This professional will manage and be responsible for the compliance program of a publicly-traded investment advisory firm registered with the SEC under the Investment Advisers Act of 1940 with more than $130B in AUM. The CCO will be a thoughtful, credible and savvy business partner across the organization as it responds to an ever-changing regulatory environment and continued growth. Candidates who have worked within the areas of retirement plans, retail advisory, and information technology will be given heightened consideration, as will candidates with regulatory experience (SEC, FINRA) and a law degree.

 Primary responsibilities:

  • Conduct, oversee and document periodic regulatory risk assessments to determine compliance risk.
  • Develop, test and maintain policies and procedures for applicable regulatory and compliance requirements.
  • Manage regulatory review and oversight of marketing communications and advisory services of the firm.
  • Ensure adequate disclosures for Form ADV and compliance with delivery requirements.
  • Develop, oversee and prepare annual compliance review and periodic reports to senior management and Board of Directors (including a former SEC Commissioner).
  • Work with senior management to develop and maintain controls to monitor effectiveness of compliance program and promptly address any noncompliance with laws, requirements, policies or procedures.
  • Evaluate new or enhanced services, processes and initiatives for compliance issues.
  • Institute and maintain an effective compliance communication program for the organization, including promoting heightened awareness of compliance requirements, understanding of new and existing compliance issues and related policies and procedures.
  • Prepare and review training materials and provide compliance training to new hires and continuing education for existing employees to keep current on the changing regulatory environment.
  • Prepare for and lead examinations or investigations conducted by SEC or other external parties.
  • Oversee regulatory filings and IAR registrations.
  • Participate in key SEC outreach programs and maintain current knowledge of investment advisory laws, regulations, enforcement actions and litigation, and regulatory guidance.
  • Champion our firm’s compliance policies and risk management controls.
  • Supervise compliance team.
  • Special projects as requested.

 

Personal characteristics necessary for this role include:

  • An exemplary standard of integrity, especially when under pressure.
  • Innovative thinking with the added ability to translate cutting edge ideas into efficient new business processes and tools.
  • Flexibility, open-mindedness and adaptability when working in a rapidly changing environment.
  • Problem-solving skills: able to analyze multiple options, identify and articulate consequences, and develop the best fact-based solution tailored to company’s circumstances.
  • Leadership talent with the ability to develop and motivate a team, foster teamwork, and encourage collaboration across departments.
  • Proven ability to delegate responsibility and empower associates to make decisions and the ability to manage up and down in the organization effectively.
  • Able to influence others without direct authority and at all levels of the organization.
  • Polished interpersonal skills with the ability to work efficiently and diplomatically with both external customers and internal clients.
  • Ability to resolve conflict with a style that shows respect for multiple points of view.
  • Results oriented: fosters a culture that values customer service, innovation, and healthy competition in the marketplace.
  • Sharp business acumen: anticipates needs and assesses and manages business risks and organizational dynamics.
  • Able to advocate new ideas, even when risk is involved.
  • Sense of humor, professional work ethic and teamwork.
  • Sets an example for co-workers.

 

Skills and Qualifications:

  • Significant experience in developing and implementing compliance systems and processes.
  • Ability to advocate and influence cross-functionally at all levels within an organization.
  • Detailed knowledge of the Investment Advisers Act of 1940, related rules and regulations, and compliance best practices.
  • Understanding of ERISA.
  • Outstanding analytical and organizational skills.
  • Experienced with use of technology to deliver investment advice and compliance testing.
  • Excellent subject matter and business judgment, superior leadership skills and delivery-oriented attitude.
  • Outstanding written and verbal communications and presentation skills.
  • Ability to interface directly and effectively with regulators, whether by phone, correspondence, or in person.
  • Four-year college degree.
  • Travel required among company’s offices in Phoenix, Sunnyvale, Kansas City and Boston with responsibility for management of remote staff.
  • Minimum of 10 years investment management industry experience, with at least the last 5 in a senior compliance role, ideally as a CCO.


About Financial Engines

Financial Engines is America’s largest independent investment advisor1. We help people achieve greater financial clarity by providing comprehensive financial planning and professional investment management and advice. Headquartered in Sunnyvale, CA, Financial Engines was co-founded in 1996 by Nobel Prize-winning economist William F. Sharpe. We currently offer financial help to more than 9.5 million people across over 700 companies (including 146 of the Fortune 500). Our unique approach, combined with powerful online services, dedicated advisors and personal attention, promotes greater financial wellness and helps more Americans to meet their financial goals.

For more information, please visit www.financialengines.com.

All advisory services provided by Financial Engines Advisors L.L.C. Financial Engines does not guarantee future results.

1 For independence methodology and ranking, see InvestmentNews Center (http://data.investmentnews.com/ria/).


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