Senior Specialist, Regulatory Strategy – Readiness

Job not on LinkedIn

🕒 September 8

🇺🇸 United States – Remote

💵 $72.2k - $102k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 11%

What it means: how likely this posting is sitting open without active hiring.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• 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

🎯 Requirements

• 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

🏖️ Benefits

• 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