Lead Analyst, Personal Trading & Compliance

November 25

Apply Now

Receive Emails with Similar Jobs

Empower

WebsiteLinkedInAll Job Openings

Finance • Fintech • B2C

Empower is a leading provider of financial services focused on helping individuals and organizations achieve financial freedom through retirement planning and investment management. Serving over 19 million Americans, Empower offers a comprehensive suite of finance-related services, including smart planning and investment advice, and tools like the Empower Personal Dashboard™ for a complete financial view. The company is renowned as a top retirement plan provider and works closely with personal investors, workplace plan savers, plan sponsors, and financial professionals. Empower is also recognized for initiatives in Diversity, Equity, Inclusion, and has a social commitment that bolsters community impact.

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

📋 Description

• Monitor personal trading and outside brokerage accounts to ensure compliance with the Code of Ethics • Review employee trades, identify potential violations, and maintain accurate records of findings • Enhance policies and procedures for trade pre-clearance, disclosures, and employee attestations • Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions • Research and interpret evolving SEC, FINRA, and state rules to inform policy updates and control enhancements • Prepare quarterly and annual compliance reports for leadership, committees, and regulators • Serve as a primary contact during audits and regulatory exams related to personal trading • Develop and deliver Code of Ethics and compliance training that promotes awareness and accountability • Identify opportunities to streamline processes and strengthen monitoring workflows • Partner with technology and Compliance Operations teams to design and deploy dashboards and automated workflows using sound governance and documentation

🎯 Requirements

• 7+ years of experience with compliance requirements under the Advisers Act, Investment Company Act, and FINRA/MSRB rules • FINRA Series 65 license (or ability to obtain within required timelines). FINRA fingerprinting required • Bachelor’s degree or equivalent experience (law degree preferred) • Hands-on experience with personal trading and Code of Ethics oversight, including use of systems like StarCompliance • Strong analytical and investigative skills with close attention to detail • Excellent communication, collaboration, and judgment skills • Ability to manage multiple priorities in a fast-paced, evolving environment • High ethical standards and discretion handling confidential information • Experience with compliance technology or automation tools (preferred) • Familiarity with AI and analytics to support compliance monitoring (preferred) • Prior involvement in regulatory exams or internal audits (preferred) • Proven record of improving compliance processes and workflows (preferred)

🏖️ Benefits

• Medical, dental, vision and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%) • Tuition reimbursement up to $5,250/year • Business-casual environment that includes the option to wear jeans • Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year • Paid volunteer time — 16 hours per calendar year • Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA) • Business Resource Groups (BRGs) – facilitate inclusion and collaboration across our business internally and throughout the communities