Senior Director, Compliance Monitoring & Surveillance

Vaga não está no LinkedIn

🕒 Setembro 23

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $144.900 - $210.075 / ano

⏰ Tempo Integral

🟠 Sênior

🚔 Conformidade

🦅 Patrocina Visto H1B

Esta empresa já patrocinou vistos H1B no passado.

👻 Score fantasma 0%

O que significa: quão provável esta vaga está aberta sem contratação ativa.Como ler: 60% ou mais significa que achamos que é uma vaga fantasma. Pontuações mais baixas preocupam menos.Como pontuamos: tempo em aberto, republicações, vagas abertas vs tamanho do time, rapidez para fechar vagas, e se o salário está divulgado.Observação: é uma estimativa de dados públicos, não um julgamento da empresa. Vagas reais podem ter pontuação alta, então use como uma dica, não como um fato.

Candidatar-se

Encontrar Vagas Remotas Similares

Configurar Alerta de Email para Novas Vagas

📊 Verifique sua pontuação de currículo para esta vaga

Melhore suas chances de conseguir uma entrevista verificando sua pontuação de currículo antes de se candidatar.

Enviar Currículo

Empower

SiteLinkedInTodas as Vagas

10.000+ funcionários

💸 Finanças

💳 Fintech

👥 B2C

Finance • Fintech • B2C

A Empower é uma fornecedora líder de serviços financeiros focada em ajudar indivíduos e organizações a alcançar a liberdade financeira através do planejamento de aposentadoria e da gestão de investimentos. Atendendo a mais de 19 milhões de americanos, a Empower oferece um conjunto abrangente de serviços relacionados a finanças, incluindo planejamento inteligente e aconselhamento de investimento, além de ferramentas como o Empower Personal Dashboard™ para uma visão financeira completa. A empresa é renomada como uma das principais provedoras de planos de aposentadoria e trabalha de perto com investidores pessoais, poupadores de planos no local de trabalho, patrocinadores de planos e profissionais financeiros. A Empower também é reconhecida por suas iniciativas em Diversidade, Equidade, Inclusão e tem um compromisso social que fortalece o impacto na comunidade.

Descrição

• Establish strategies, priorities, goals, and procedures for Empower’s Compliance Monitoring and Surveillance program • Lead detection of compliance control gaps, deficiencies, and potential violations across sales practices, marketing, client interactions, electronic communications, and other front-office activities • Design and implement technology- and data-driven surveillance solutions • Develop and enhance risk-based compliance monitoring and surveillance controls for SEC, FINRA, DOL, and state regulatory requirements • Develop reporting for Compliance leadership on findings, emerging risks, trends, metrics, and program enhancements • Establish and monitor KRIs, KPIs, surveillance thresholds, and program effectiveness metrics • Advise senior leadership, Supervising Principals, and business partners on compliance policies and regulatory considerations • Lead the Compliance monitoring and surveillance team, including talent selection, workload management, performance management, mentoring, and professional development • Promote quality execution, accountability, professional growth, and alignment with compliance and ethical standards • Track compliance issues and oversee remediation, escalation, follow-up, and closure • Communicate significant compliance risks, findings, and trends to senior leadership and stakeholders • Develop and refine policies, procedures, controls, and oversight mechanisms

🎯 Requisitos

• Bachelor’s degree or equivalent work experience required • 10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry • 8+ years of leadership experience overseeing compliance monitoring and surveillance programs within a regulated financial services environment • Demonstrated experience leading and developing compliance professionals • FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe • FINRA Fingerprinting required • Experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs • Experience with sales practice monitoring, electronic communications surveillance, and front-office compliance oversight • Experience leveraging surveillance technology, data analytics, reporting, and automation • Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements • Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight • Ability to identify, assess, and measure regulatory and operational risks and evaluate compliance controls • Ability to develop, analyze, and interpret data, metrics, and reporting • Ability to build, develop, and lead high-performing teams • Exceptional written and verbal communication skills • Ability to partner with senior leadership and business leaders • Strategic thinking, sound judgment, and effective decision-making • Ability to work independently in a collaborative, cross-functional environment • Experience with surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower • Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available

🏖️ Benefícios

• Medical, dental, vision and life insurance • 401(k) plan with generous company matching contributions (up to 6%) • Financial advisory services • Potential company discretionary contribution • Broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment including the option to wear jeans • Generous paid time off upon hire • Ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Paid parental leave • Paid short- and long-term disability • Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) • Reliable high-speed internet with a wired connection and a suitable home workspace; necessary computer equipment provided