Senior Specialist, Regulatory Strategy – Readiness

Stelle nicht auf LinkedIn

🕒 vor 22 Tagen

🇺🇸 Vereinigte Staaten – Remote

💵 $72.200 - $101.975 / Jahr

⏰ Vollzeit

🟠 Senior

🚔 Compliance

🦅 H1B-Visum-Sponsor

Dieses Unternehmen hat in der Vergangenheit H1B-Visa gesponsert.

👻 Geisterscore 11%

Was es bedeutet: wie wahrscheinlich diese Stelle offen bleibt, ohne dass aktiv eingestellt wird.So liest du es: 60 % oder höher heißt, wir halten das für einen Geisterjob. Niedrigere Werte sind weniger bedenklich.Wie wir werten: Dauer offen, Neuveröffentlichungen, offene Stellen vs Teamgröße, wie schnell Stellen geschlossen werden, und ob ein Gehalt angegeben ist.Hinweis: eine Schätzung aus öffentlichen Daten, kein Urteil über das Unternehmen. Echte Stellen können hoch punkten, nutze es also als Hinweis, nicht als Fakt.

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Empower

WebsiteLinkedInAlle Stellen

10.000+ Mitarbeiter

💸 Finanzen

💳 Fintech

👥 B2C

Finance • Fintech • B2C

Empower ist ein führender Anbieter von Finanzdienstleistungen, der sich darauf konzentriert, Einzelpersonen und Organisationen dabei zu helfen, finanzielle Freiheit durch Altersvorsorge und Investmentmanagement zu erreichen. Mit über 19 Millionen Kunden in den USA bietet Empower eine umfassende Palette an finanzbezogenen Dienstleistungen an, darunter intelligente Planung und Anlageberatung sowie Tools wie das Empower Personal Dashboard™ für einen vollständigen Finanzüberblick. Das Unternehmen ist bekannt als führender Anbieter von Altersvorsorgeplänen und arbeitet eng mit privaten Anlegern, Arbeitsplatzsparer, Plan-Sponsoren und Finanzfachleuten zusammen. Empower wird auch für Initiativen in den Bereichen Diversity, Equity, Inclusion anerkannt und hat ein soziales Engagement, das die Wirkung in der Gemeinschaft stärkt.

Beschreibung

• 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

🎯 Anforderungen

• 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

🏖️ Vorteile

• 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