Investment Advisory Compliance Program Manager

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Empower

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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

• Maintain and refresh compliance policies and procedures under the Advisers Act, Investment Company Act, and applicable FINRA/MSRB rules • Review and test controls to assess effectiveness and partner with business teams to close gaps • Prepare reports and filings for leaders, committees, and regulators • Monitor regulatory changes and summarize impacts for advisory and fund businesses • Coordinate exam and audit responses with senior compliance officers, including materials and follow-up • Support compliance training by updating content, tracking completion, and answering questions • Conduct due diligence on sub-advisers and third-party providers • Work with Compliance Operations and technology partners to enhance reporting, testing, and automation • Maintain documentation and records supporting regulatory obligations • Represent Compliance on projects and working groups to embed requirements into new initiatives

🎯 Requirements

• Bachelor’s degree or equivalent experience • 5+ years in investment advisory or asset management compliance • Working knowledge of SEC, FINRA, and MSRB regulations • Experience supporting compliance programs in a regulated financial institution • Ability to interpret and apply complex regulations • Strong analytical, organizational, and communication skills • Comfort collaborating across teams and managing documentation • Familiarity with compliance systems, reporting tools, or data management • FINRA fingerprinting required

🏖️ 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.