Senior Director, Front Office Advice & Guidance

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November 27

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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

• Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS • Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters • Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940 • Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions • Define and manage compliance initiatives supporting advice, distribution, and supervision functions • Coordinate across business and control partners to implement new or evolving regulatory requirements • Track open compliance issues to ensure timely resolution and escalation as needed • Communicate emerging risks, trends, and program updates to senior management and key stakeholders • Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities • Represent Compliance on committees and working groups related to client advice, supervision, and service

🎯 Requirements

• Bachelor’s degree or equivalent experience (advanced degree preferred) • 10+ years of compliance experience within broker-dealer and investment advisory environments • FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines. FINRA fingerprinting required • Proven experience leading compliance programs or advisory functions at a senior level • Must have the ability to learn and develop a deep understanding of the business; build strong relationships through regular communication and active participation in committees and projects; and objectively assess inherent regulatory risks. This includes developing a comprehensive understanding of the control environment, accurately identifying weaknesses, measuring control effectiveness, and partnering with the business to advocate for and drive effective remediation. • Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends • Strong knowledge of advice delivery, supervision, and client interaction frameworks • Excellent communication and relationship-building skills across business and control teams • Strategic thinking and sound judgment in applying regulatory standards to business initiatives • Must demonstrate a “challenger” mindset and strong relationship skills to build durable, collaborative partnerships with business leaders.

🏖️ 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.