Senior Product Compliance Manager

November 27

Apply Now

Receive Emails with Similar Jobs

Empower

WebsiteLinkedInAll Job Openings

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

• Provide compliance guidance from product concept through post-launch oversight • Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products • Identify and coordinate updates to ADV filings, disclosures, and policies tied to product changes • Review and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules • Collaborate with business partners to balance innovation with regulatory expectations • Participate in governance forums, committees, and working groups on product development and communications • Track regulatory developments and advise leadership on potential product impacts • Maintain and enhance internal procedures supporting Empower’s product compliance framework • Prepare summaries and reports for senior leadership on compliance activities and emerging risks • Partner with cross-functional stakeholders to ensure product-related risks are identified, documented, and mitigated

🎯 Requirements

• Bachelor’s degree or equivalent experience (advanced degree preferred) • 10+ years of financial services compliance experience with a focus on product development and oversight • 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. • 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 • Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations • Deep understanding of complex products such as SMAs, alternatives, and capital markets offerings • Proven experience reviewing marketing materials for regulatory accuracy and fairness • Ability to analyze regulatory trends and provide practical, risk-based solutions • Excellent communication, collaboration, and relationship-building skills.

🏖️ 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.