Senior Specialist, Regulatory Strategy – Readiness

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🕒 Setembro 8

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $72.200 - $101.975 / 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

• Monitor regulatory developments from the SEC, FINRA, DOL, state insurance regulators, state securities regulators, and other relevant authorities • Analyze regulatory developments for applicability, business impact, risk significance, urgency, and supervisory expectations • Support regulatory examinations, inquiries, and supervisory engagements • Coordinate document requests, evidence collection, interview preparation, request tracking, and issue management • Prepare regulatory intelligence summaries, thematic analyses, executive briefings, and regulatory outlook materials • Maintain repositories of regulatory developments, themes, enforcement trends, and examination focus areas • Escalate significant regulatory developments and emerging risks with recommended next steps • Plan and execute mock regulatory examinations, readiness assessments, tabletop exercises, and thematic reviews • Maintain examination playbooks, readiness checklists, regulator profiles, issue logs, action plans, and remediation evidence • Analyze examination findings, inquiries, complaints, testing results, and industry themes for risk-based readiness planning • Track readiness actions through closure and validate remediation quality and sustainability • Maintain the enterprise regulatory inventory and regulatory change records • Coordinate regulatory impact assessments, ownership, milestones, evidence requirements, and status reporting • Prepare governance materials, dashboards, agendas, minutes, action logs, and escalation reporting • Perform quality assurance of regulatory change data and support process enhancements and automation • Develop dashboards and metrics for regulatory developments, readiness activities, mock examinations, regulatory changes, open actions, and emerging trends • Synthesize qualitative and quantitative information into decision-useful reporting for senior leadership and governance forums • Coordinate cross-functional meetings, maintain workplans, track deliverables, and follow up on commitments • Support regulatory strategy, readiness, and special projects led by senior regulatory leadership

🎯 Requisitos

• Bachelor’s degree in business, finance, law, risk, compliance, public policy, or a related field • 5+ years of experience in financial services compliance, regulatory affairs, legal, risk management, audit, or a related discipline • Working knowledge of financial services regulatory frameworks and ability to interpret complex regulatory materials • Strong research, analytical, writing, presentation, project management, and organizational skills • Ability to identify regulatory themes, distinguish material issues from lower-priority information, and communicate findings clearly to senior audiences • Advanced proficiency with Microsoft Office • Strong attention to detail, sound judgment, intellectual curiosity, and ability to manage multiple priorities independently • 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 minimally disruptive home workspace • Experience with workflow, regulatory change management, dashboard, or data visualization tools • Experience supporting regulatory examinations, mock examinations, regulatory readiness assessments, or regulatory change management programs • Experience within a broker-dealer, registered investment adviser, insurance, banking, or diversified financial services organization • Experience developing regulatory reporting, dashboards, or executive-level materials for Compliance, Legal, Risk, or governance stakeholders

🏖️ 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 home workspace are supported; necessary computer equipment will be provided