Senior Specialist, Regulatory Strategy – Readiness

Job not on LinkedIn

🔥 0 minutes ago

🇺🇸 United States – Remote

💵 $72.2k - $102k / 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

• Monitor regulatory developments from the SEC, FINRA, DOL, state insurance regulators, state securities regulators, and other relevant authorities • Analyze regulatory developments for applicability, business impact, risk significance, urgency, and anticipated supervisory expectations • Support regulatory examinations, inquiries, and supervisory engagements • Coordinate document requests, evidence collection, interview preparation, request tracking, and issue management • Prepare regulatory intelligence summaries, thematic analyses, executive briefings, and regulatory outlook materials • Maintain repositories of regulatory developments, themes, enforcement trends, and examination focus areas • Escalate significant regulatory developments and emerging risks with analysis and recommended next steps • Support mock regulatory examinations, readiness assessments, tabletop exercises, and thematic reviews • Assist with examination scopes, document request lists, evidence collection, interview schedules, walkthroughs, issue tracking, and final reporting • Maintain examination playbooks, readiness checklists, regulator profiles, issue logs, action plans, and remediation evidence • Analyze examination findings, regulatory inquiries, complaints, compliance testing results, and industry themes for risk-based readiness planning • Track readiness actions through closure and validate remediation quality and sustainability • Maintain the enterprise regulatory inventory and regulatory change records • Coordinate regulatory impact assessments, ownership, implementation milestones, evidence requirements, and status reporting • Prepare governance materials, dashboards, agendas, minutes, action logs, and escalation reports • Perform quality assurance of regulatory change data and support process enhancements and automation • Develop dashboards and metrics for regulatory developments, readiness activities, mock examinations, regulatory changes, open actions, and emerging trends • Synthesize qualitative and quantitative information into decision-useful reporting for senior leadership and governance forums • Coordinate cross-functional meetings, maintain workplans, track deliverables, and follow up on commitments • Support regulatory strategy, readiness, and special projects led by senior regulatory leadership

🎯 Requirements

• Bachelor’s degree in business, finance, law, risk, compliance, public policy, or a related field • 5+ years of experience in financial services compliance, regulatory affairs, legal, risk management, audit, or a related discipline • Working knowledge of financial services regulatory frameworks and ability to interpret complex regulatory materials • Strong research, analytical, writing, presentation, project management, and organizational skills • Ability to identify regulatory themes, distinguish material issues from lower-priority information, and communicate findings clearly to senior audiences • Advanced proficiency with Microsoft Office • Strong attention to detail, sound judgment, intellectual curiosity, and ability to manage multiple priorities independently • Applicants must be authorized to work for any employer in the U.S.; employment visa sponsorship, including CPT/OPT, is unavailable • Reliable high-speed internet with a wired connection and a suitable home workspace for remote work • Experience with workflow, regulatory change management, dashboard, or data visualization tools (preferred) • Experience supporting regulatory examinations, mock examinations, regulatory readiness assessments, or regulatory change management programs (preferred) • Experience within a broker-dealer, registered investment adviser, insurance, banking, or diversified financial services organization (preferred) • Experience developing regulatory reporting, dashboards, or executive-level materials for Compliance, Legal, Risk, or governance stakeholders (preferred)

🏖️ 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, and a 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) facilitating inclusion and collaboration • Flexible work environment • Other necessary computer equipment provided • Opportunity to participate in a bonus program