Regulatory Response Lead Specialist

🔥 5 minutes ago

🇺🇸 United States – Remote

💵 $96.1k - $135.7k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

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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

• Serve as the main contact for federal and state regulators, including the SEC, FINRA, and state agencies • Coordinate intake, tracking, and resolution of exams, inquiries, complaints, and record requests • Partner with Compliance and business teams to assign work, gather records, and meet deadlines • Draft and review regulatory responses, from routine to complex, including supporting documentation • Maintain organized records of all regulatory activity in systems like OnBase and SharePoint • Manage and track recurring and ad hoc regulatory filings to ensure timely completion • Build and improve processes and procedures for regulatory responses and filings • Monitor performance through metrics and reporting, identifying trends and areas for improvement

🎯 Requirements

• Bachelor’s degree or equivalent experience • 8+ years of compliance or related experience, including direct interaction with regulators • Working knowledge of securities and/or insurance regulations, with ability to research and apply requirements • Experience managing multiple priorities with strict deadlines • Strong written and verbal communication skills across technical and non-technical audiences • Ability to collaborate effectively across teams and build productive working relationships • Comfort using systems to track work, maintain records, and report outcomes • Fingerprinting required

🏖️ 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 • 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.