Senior Director, Compliance Monitoring & Surveillance

Job not on LinkedIn

🔥 12 hours ago

🇺🇸 United States – Remote

💵 $144.9k - $210.1k / 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

• Establish strategies, priorities, goals, and procedures for Empower’s Compliance Monitoring and Surveillance program • Lead detection of compliance control gaps, deficiencies, and potential violations across sales practices, marketing, client interactions, electronic communications, and other front-office activities • Design and implement technology- and data-driven surveillance solutions • Develop and enhance risk-based compliance monitoring and surveillance controls for SEC, FINRA, DOL, and state regulatory requirements • Develop reporting for Compliance leadership on findings, emerging risks, trends, metrics, and program enhancements • Establish and monitor KRIs, KPIs, surveillance thresholds, and program effectiveness metrics • Advise senior leadership, Supervising Principals, and business partners on compliance policies and regulatory considerations • Lead the Compliance monitoring and surveillance team, including talent selection, workload management, performance management, mentoring, and professional development • Promote quality execution, accountability, professional growth, and alignment with 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

🎯 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 • Demonstrated 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 and evaluate compliance controls • Ability to develop, analyze, and interpret data, metrics, and reporting • Ability to build, develop, and lead high-performing teams • Exceptional written and verbal communication skills • Ability to partner with senior leadership and business leaders • 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.; no employment visa sponsorship available

🏖️ Benefits

• Medical, dental, vision and life insurance • 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 including the option to wear jeans • Generous paid time off upon hire • 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) • Reliable high-speed internet with a wired connection and a suitable home workspace; necessary computer equipment provided