Senior Director, Regulatory Strategy – Readiness

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🕒 Setembro 8

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $138.000 - $200.100 / ano

⏰ Tempo Integral

🟠 Sênior

🚔 Conformidade

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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

• Support development and execution of enterprise regulatory strategy aligned with business priorities, compliance objectives, and risk appetite • Establish and lead regulatory horizon-scanning across SEC, FINRA, DOL, state insurance regulators, state securities regulators, banking regulators, and other authorities • Provide senior leadership and examination-management support during examinations, inquiries, and supervisory engagements • Assess rulemaking, examination priorities, enforcement actions, speeches, guidance, industry developments, and supervisory themes for emerging regulatory risks • Translate regulatory developments into practical implications and recommendations for senior leadership and stakeholders • Develop executive-level regulatory outlooks, thematic analyses, briefing materials, and governance recommendations • Maintain forward-looking regulatory risk assessments and recommend changes to priorities, resources, governance, controls, policies, testing, and readiness activities • Design and maintain an enterprise Regulatory Readiness Program • Identify priority themes and business areas for mock examinations • Plan and lead mock regulatory examinations, including scope, document requests, interviews, walkthroughs, governance reviews, evidence assessments, challenge sessions, and final reporting • Assess governance, controls, documentation, supervisory practices, issue management, management information, and compliance evidence • Develop examination playbooks, readiness checklists, tabletop exercises, scorecards, and escalation protocols • Coordinate remediation plans and validate sustainable, evidenced, timely corrective actions • Incorporate lessons learned from examinations, inquiries, complaints, and regulator feedback into readiness activities • Provide strategic oversight of the enterprise regulatory change management framework and day-to-day program execution • Ensure regulatory developments are identified, inventoried, assessed, assigned, implemented, and tracked through closure • Establish standards for impact assessments, implementation plans, evidence, governance, escalation, and closure validation • Lead regulatory change governance forums and report on material changes, risks, overdue actions, and emerging themes • Drive continuous improvement through workflow design, automation, data quality standards, and management reporting • Partner with Regulatory Response, Compliance Testing, Branch Inspections, Legal, Enterprise Risk, Internal Audit, Operations, and business leadership • Incorporate emerging themes into risk assessments, testing plans, branch inspection priorities, policies, procedures, training, and reporting • Lead cross-functional preparation for significant examinations and supervisory engagements • Coordinate enterprise regulatory initiatives spanning business units, legal entities, and regulatory regimes • Represent the Head of Regulatory Strategy & Testing in leadership and governance forums as appropriate • Build and lead a high-performing Regulatory Strategy & Readiness function • Coach and develop team members and contribute to succession planning and leadership development • Foster a proactive, rigorous, collaborative, outcomes-focused culture • Manage competing priorities, allocate resources, and ensure high-quality delivery

🎯 Requisitos

• Bachelor’s degree • 12+ years of progressive experience in financial services compliance, regulatory affairs, legal, risk management, audit, or a related discipline • Deep knowledge of one or more relevant regulatory regimes • Broad familiarity across SEC, FINRA, DOL, state insurance, state securities, and related supervisory frameworks • Demonstrated experience leading regulatory examinations, mock examinations, enterprise compliance initiatives, regulatory change management programs, or complex cross-functional risk programs • Strong strategic judgment connecting regulatory developments to business models, products, operations, controls, and enterprise risk • Ability to influence senior leaders, lead governance forums, provide constructive challenge, and communicate complex regulatory matters clearly • Excellent written communication, presentation, analytical, program management, and organizational leadership skills • Ability to operate effectively at strategic and execution levels in a complex, highly regulated environment • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace for remote work • What will set you apart: advanced degree, JD, or relevant professional certification • What will set you apart: experience within a broker-dealer, registered investment adviser, insurance, banking, or diversified financial services organization • What will set you apart: experience presenting regulatory strategy, examination readiness, or regulatory risk matters to executive leadership or senior governance committees • What will set you apart: experience designing or enhancing enterprise regulatory change management or regulatory intelligence programs

🏖️ 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 with 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) • Flexible work environment • Other necessary computer equipment provided for remote and hybrid positions • Non-sales positions have the opportunity to participate in a bonus program