Senior Director – Compliance

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🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $151.8k - $220.1k / year

⏰ Full Time

🟠 Senior

🚔 Compliance

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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 Empower's Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services • Serve as deputy to the VP, Compliance and Chief Compliance Officer for designated governance, regulatory, and business initiatives • Direct enterprise compliance risk assessments, annual compliance reviews, monitoring, testing, issue management, and governance reporting • Design and enhance a risk assessment framework supporting targeted monitoring, testing, and remediation • Manage, coach, and develop a team of compliance professionals • Partner with business leaders and control functions on regulatory requirements, conflicts of interest, fiduciary obligations, and supervisory expectations • Lead regulatory examinations, internal audits, and annual reviews, coordinating responses and remediation • Present compliance reporting, trends, and recommendations to senior leadership, governance committees, and boards • Monitor regulatory developments and enhance policies, procedures, controls, and compliance programs • Sponsor technology, automation, analytics, and AI-enabled compliance capabilities

🎯 Requirements

• Bachelor's degree or equivalent experience required • Juris Doctor preferred • 10+ years of progressive compliance experience supporting investment advisers, registered funds, asset management, or broker-dealer businesses • 5+ years of people leadership experience • 10+ years working with the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, FINRA rules, and related regulatory expectations • 8+ years leading personal trading, Code of Ethics, monitoring, testing, risk assessments, and compliance program oversight • Strong communication skills and ability to influence senior leaders and present complex topics clearly • Experience partnering with regulators, auditors, and governance committees during examinations and reviews • FINRA Series 65 or 66 required • FINRA fingerprinting required • High ethical standards, sound judgment, and ability to manage confidential information with discretion • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT

🏖️ Benefits

• Medical, dental, vision and life insurance • 401(k) plan with 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 option to wear jeans • Paid time off program • Ten paid company holidays • 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 open to all • Flexible work environment • Reliable high-speed internet and necessary computer equipment provided for remote and hybrid positions