Senior Analyst, Personal Trading & Compliance

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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

• Monitors personal trading activity of access persons and Empower representatives. • Reviews outside brokerage accounts and trading activity. • Investigates potential exceptions, analyzes trends, and maintains accurate records and reporting. • Executes established procedures related to employee trading, annual certifications, and recordkeeping. • Performs periodic testing activities related to Compliance with internal policies. • Prepares recurring reports and documentation for management and regulatory examinations. • Provides day-to-day support for Code of Ethics communications and training. • Identifies opportunities for process improvement using analytics and AI-enabled tools.

🎯 Requirements

• Bachelor’s degree required in finance, accounting, or law; equivalent work experience may be considered. • 7+ years of experience in Compliance, financial services, securities operations, investment adviser operations, or a securities regulator environment. • Experience should include personal trading Compliance, Code of Ethics administration, employee surveillance, and/or trade monitoring systems (e.g., StarCompliance). • Experience working in a global environment and supporting US regulatory or Compliance processes preferred. • FINRA fingerprinting required. • Strong working knowledge of securities laws and regulations applicable to investment advisers, broker-dealers, mutual funds, and/or personal trading Compliance programs. • Strong analytical ability, attention to detail, sound judgment, and ability to manage multiple priorities in a deadline-driven environment, including complex reviews, escalations, and recurring reporting deliverables. • Ability to analyze data, document reviews, and clearly communicate findings, questions, and recommended actions. • Ability to follow independently apply established procedures, identify potential issues, evaluate exceptions, recommend next steps, and escalate matters appropriately. • Experience using approved artificial intelligence-enabled tools, including custom GPTs or similar workflow tools, to improve efficiency, consistency, documentation, and reporting, subject to appropriate controls and governance. • Strong written and verbal communication skills and ability to work collaboratively with Compliance, legal, operations, technology, and business partners. • Proficiency with Microsoft Office, especially Excel, and ability to learn and use Compliance monitoring, workflow, and reporting systems. • Ability to work effectively across teams and time zones in a dynamic environment.

🏖️ Benefits

• flexible work environment • fluid career paths • celebrate internal mobility • inclusive environment • thousands of hours volunteering