Senior Analyst, Communications Compliance

Job not on LinkedIn

🕒 August 24

🇮🇳 India – Remote

⏰ Full Time

🟠 Senior

🚔 Compliance

👻 Ghost score 20%

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

• Review and approve complex public, retail, institutional, and internal communications for compliance with FINRA, SEC, state securities, and insurance regulations and company policies • File applicable communications materials with FINRA and maintain required advertising and communications records • Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials • Respond to internal business partner inquiries regarding communications compliance requirements, regulatory standards, and the communications review process • Respond to FINRA Advertising Regulation inquiries and assist with regulatory examinations, requests, and inquiries • Develop and maintain subject matter expertise in communications regulations, securities and insurance products, and company compliance policies • Assist management with maintaining and updating compliance policies based on regulatory and business changes • Create, maintain, and test procedures and controls related to communications compliance reviews • Prepare quarterly and annual compliance reporting for management and senior leadership • Research and compile documentation required for regulatory examinations and inquiries • Conduct compliance surveillance reviews and investigations as required • Coordinate compliance programs and perform operational or surveillance activities required under SEC and FINRA regulations governing broker-dealer and investment adviser affiliates • Serve as a subject matter expert for assigned products, services, or regulatory requirements and provide training or guidance to other compliance specialists • Educate internal and external business partners on communications, review processes, procedures, product requirements, and relevant regulatory or industry changes

🎯 Requirements

• 8+ years of experience in financial services compliance • Knowledge of registered securities products and applicable communications compliance requirements • Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications • Strong knowledge of FINRA, SEC, ERISA, federal, and state securities regulations and applicable insurance regulations • FINRA Series 6 and 26 registrations or Series 7 and 24 registrations • FINRA Fingerprinting required • Strong analytical skills and attention to detail • Ability to interpret regulatory requirements and apply them to complex communications • Ability to complete communications reviews accurately and within established service or turnaround standards • Ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment • Strong written and verbal communication skills • Ability to build effective working relationships with business partners, management, and staff across the organization • Ability to work independently with limited supervision while maintaining professionalism, accountability, client focus, and teamwork • Proficiency with Microsoft Outlook, Adobe Acrobat, and applicable communications review and recordkeeping systems • A bachelor’s degree or equivalent professional experience

🏖️ Benefits

• Flexible work environment • Fluid career paths • Internal mobility opportunities • Purpose, well-being, and work-life balance support • Welcoming and inclusive environment • Volunteering opportunities