Senior Director, Compliance Monitoring & Surveillance

Job not on LinkedIn

🕒 September 23

🇺🇸 United States – Remote

💵 $144.9k - $210.1k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 24%

What it means: the chance that no one is really hiring for this job.How to read it: 60% or higher means we think this is a ghost. Lower scores are less of a worry.How we score it: age, reposts, open roles vs team size, how fast jobs close, and whether pay is listed.Fine print: an estimate from public data, not a judgment of the company. Real jobs can score high, so treat it as a hint, not a fact.

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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

• Lead a team responsible for identifying and addressing compliance control gaps, operational deficiencies, and potential compliance violations • Establish strategy, priorities, goals, and procedures for the Compliance Monitoring and Surveillance program across Empower Personal Wealth and Workplace Solutions • Lead detection of compliance gaps, deficiencies, and potential violations involving sales practices, marketing, client interactions, electronic communications, and other front-office activities • Design and implement technology- and data-driven surveillance solutions for high-risk sales practice behaviors • Develop and enhance risk-based compliance monitoring and surveillance controls for SEC, FINRA, DOL, and state regulatory requirements • Report key findings, emerging risks, trends, metrics, and program enhancement opportunities to Compliance leadership • Establish and monitor KRIs, KPIs, surveillance thresholds, and program effectiveness metrics • Advise senior leadership, Supervising Principals, and business partners on compliance policies and regulatory, product, service, and business changes • Lead talent selection, workload management, performance management, mentoring, and professional development for Compliance professionals • Promote quality execution, accountability, professional growth, and compliance and ethical standards • Track compliance issues and oversee remediation, escalation, follow-up, and closure • Communicate significant compliance risks, findings, and trends to senior leadership and stakeholders • Develop and refine policies, procedures, controls, and oversight mechanisms to mitigate compliance risk

🎯 Requirements

• Bachelor’s degree or equivalent work experience required • 10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry • 8+ years of leadership experience overseeing compliance monitoring and surveillance programs within a regulated financial services environment • Experience leading and developing compliance professionals • FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe • FINRA Fingerprinting required • Experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs • Experience with sales practice monitoring, electronic communications surveillance, and front-office compliance oversight • Experience leveraging surveillance technology, data analytics, reporting, and automation • Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements • Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight • Ability to identify, assess, and measure regulatory and operational risks • Ability to evaluate compliance controls and recommend risk-based solutions • Ability to develop, analyze, and interpret data, metrics, and reporting • Proven ability to build, develop, and lead high-performing teams • Exceptional written and verbal communication skills • Ability to communicate complex compliance matters and influence senior leaders and stakeholders • Ability to partner with senior and business leadership on compliance risks and strategic initiatives • Strategic thinking, sound judgment, and effective decision-making • Ability to work independently in a collaborative, cross-functional environment • Experience with surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable • Reliable high-speed wired internet and a suitable home workspace required for remote work

🏖️ Benefits

• Medical, dental, vision and life insurance • 401(k) plan with generous company matching contributions (up to 6%) • Financial advisory services • Potential company discretionary retirement contribution • Broad investment lineup • Tuition reimbursement up to $5,250/year • Business-casual environment with the option to wear jeans • Paid time off program • 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) • Bonus program opportunity for non-sales positions • Other necessary computer equipment provided • Flexible work environment • Reliable high-speed internet and home workspace requirements for remote work

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