Senior Director, Personal Trading & Compliance

🕒 2 days ago

🇺🇸 United States – Remote

💵 $151.8k - $220.1k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

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Empower

WebsiteLinkedInAll Job Openings

10,000+ employees

💸 Finance

💳 Fintech

👥 B2C

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.

📋 Description

• Lead the firm's Personal Trading and Code of Ethics program, including pre-clearance, employee trading reviews, restricted list oversight, certifications, and disclosures • Serve as deputy to the VP, Compliance and Chief Compliance Officer for designated governance, regulatory, and business initiatives • Direct enterprise compliance risk assessments, annual compliance reviews, monitoring, testing, issue management, and governance reporting • Design and enhance a risk assessment framework that supports targeted monitoring, testing, and remediation activities • Manage, coach, and develop a team of compliance professionals while fostering a culture of accountability, collaboration, and continuous improvement • Partner with business leaders and control functions to provide guidance on regulatory requirements, conflicts of interest, fiduciary obligations, and supervisory expectations • Lead regulatory examinations, internal audits, and annual reviews, coordinating responses and remediation efforts • Present compliance reporting, trends, and recommendations to senior leadership, governance committees, and boards • Monitor regulatory developments and implement enhancements to policies, procedures, controls, and compliance programs • Sponsor technology, automation, analytics, and AI-enabled compliance capabilities that strengthen surveillance, reporting, and operational effectiveness

🎯 Requirements

• Bachelor's degree or equivalent experience required; Juris Doctor preferred • 10+ years of progressive compliance experience supporting investment advisers, registered funds, asset management, or broker-dealer businesses • 5+ years of people leadership experience, including coaching, performance management, and team development • Deep knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, FINRA rules, and related regulatory expectations • Experience leading personal trading, Code of Ethics, monitoring, testing, risk assessments, and compliance program oversight • Strong communication skills with the ability to influence senior leaders and present complex topics clearly • Experience partnering with regulators, auditors, and governance committees during examinations and reviews • FINRA Series 65 or 66 required • FINRA fingerprinting required • High ethical standards, sound judgment, and the ability to manage confidential information with discretion.

🏖️ Benefits

• Medical, dental, vision and life insurance • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup • 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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.