Director, Personal Trading & Compliance

🔥 14 hours ago

🇺🇸 United States – Remote

💵 $125.4k - $181.9k / year

⏰ Full Time

🔴 Lead

🚔 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

• Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity • Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies • Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback • Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making • Track and report key program metrics, escalating issues and recommending remediation when needed • Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics • Monitor regulatory developments and guide updates to Empower’s compliance framework • Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews • Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls • Present program updates and insights to senior leadership, Compliance committees, and boards

🎯 Requirements

• Bachelor’s degree or equivalent experience (law degree preferred) • 8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules • Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations • Demonstrated leadership managing compliance or risk teams • Proven ability to assess control environments and drive effective remediation • Deep understanding of industry regulations and operational best practices • Excellent communication, analytical, and relationship-building skills • Strong judgment, discretion, and integrity in handling sensitive information • Experience navigating dynamic, fast-growing financial environments

🏖️ 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.