Senior Director, Regulatory Strategy – Readiness

Job not on LinkedIn

🔥 13 hours ago

🇺🇸 United States – Remote

💵 $138k - $200.1k / 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

• Support development and execution of enterprise regulatory strategy aligned with business priorities, compliance objectives, and risk appetite • Establish and lead regulatory horizon scanning across SEC, FINRA, DOL, state insurance regulators, state securities regulators, banking regulators, and other authorities • Provide senior leadership and examination-management support during examinations, inquiries, and supervisory engagements • Assess rulemaking, examination priorities, enforcement actions, guidance, industry developments, and supervisory themes to identify emerging risks • Translate regulatory developments into practical implications and recommendations for senior leadership, Compliance, Legal, Risk, and business stakeholders • Develop regulatory outlooks, thematic analyses, briefing materials, and recommendations for leadership and governance committees • Design and maintain an enterprise Regulatory Readiness Program • Plan and lead mock regulatory examinations, including scope, document requests, interviews, walkthroughs, governance reviews, evidence assessments, challenge sessions, and reporting • Assess governance, controls, documentation, supervisory practices, issue management, management information, and compliance evidence • Develop examination playbooks, readiness checklists, tabletop exercises, scorecards, and escalation protocols • Coordinate remediation plans and validate sustainable, evidenced, timely corrective actions • Oversee the enterprise regulatory change management framework and the Corporate Compliance Manager • Ensure regulatory developments are identified, assessed, assigned, implemented, and tracked through closure • Lead regulatory change governance forums and report on material changes, implementation risks, overdue actions, and emerging themes • Drive continuous improvement through workflow design, automation, data quality standards, and management reporting • Partner with Regulatory Response, Compliance Testing, Branch Inspections, Legal, Enterprise Risk, Internal Audit, Operations, and business leadership • Lead cross-functional preparation for significant examinations and supervisory engagements • Represent the Head of Regulatory Strategy & Testing in leadership meetings and governance forums • Build and lead a high-performing Regulatory Strategy & Readiness function • Coach and develop team members and contribute to succession planning and leadership development • Manage competing priorities, allocate resources, and ensure high-quality delivery

🎯 Requirements

• Bachelor’s degree • 12+ years of progressive experience in financial services compliance, regulatory affairs, legal, risk management, audit, or a related discipline • Deep knowledge of one or more relevant regulatory regimes, with broad familiarity across SEC, FINRA, DOL, state insurance, state securities, and related supervisory frameworks • Demonstrated experience leading regulatory examinations, mock examinations, enterprise compliance initiatives, regulatory change management programs, or complex cross-functional risk programs • Strong strategic judgment connecting regulatory developments to business models, products, operations, controls, and enterprise risk • Ability to influence senior leaders, lead governance forums, provide constructive challenge, and communicate complex regulatory matters clearly • Excellent written communication, presentation, analytical, program management, and organizational leadership skills • Ability to operate effectively at strategic and execution levels in a complex, highly regulated environment • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship is unavailable, including CPT/OPT • Reliable high-speed internet with a wired connection and a suitable home workspace for remote work • Fiber, cable, or DSL internet connection required • Advanced degree, Juris Doctor (JD), or relevant professional certification • Experience within a broker-dealer, registered investment adviser, insurance, banking, or diversified financial services organization • Experience presenting regulatory strategy, examination readiness, or regulatory risk matters to executive leadership or senior governance committees • Experience designing or enhancing enterprise regulatory change management or regulatory intelligence programs

🏖️ 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 • 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 open to all • Flexible work environment • Other necessary computer equipment provided for remote and hybrid positions • Opportunity to participate in a bonus program for non-sales positions