Senior Manager, Compliance Inspection

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November 21

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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

• Build and execute a risk-based inspection program that adapts to regulatory changes and business priorities • Use technology and data analytics to streamline inspection workflows and identify emerging trends • Develop and manage the inspection schedule, ensuring timely completion and balanced coverage across risk tiers • Oversee data collection and reporting for regulatory filings, including FINRA’s Remote Inspection Pilot • Lead and coach a team of compliance specialists to deliver high-quality inspection results and actionable insights • Analyze inspection outcomes to identify trends, escalate issues, and recommend remediation • Partner with Legal, Risk, and Operations to enhance oversight and improve control design • Maintain complete and accurate inspection records in compliance with regulatory standards • Apply AI and workflow tools to improve process efficiency and transparency

🎯 Requirements

• Bachelor’s degree in business, finance, accounting, law, or equivalent experience • 10+ years in compliance, audit, or regulatory roles within financial services • 3–5 years leading teams or managing inspection or audit programs • Strong understanding of FINRA and SEC requirements for broker-dealers and investment advisers • Experience building or managing risk-based, data-driven compliance programs • Demonstrated ability to analyze inspection data, assess risk, and communicate findings clearly • Series 7 and 24 (or equivalent) and FINRA fingerprinting • Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.

🏖️ 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.