Senior Director – Compliance

This is a fully remote position, open to applicants in United States.

📋 Description

• Oversee Empower's Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services.

• Act as the deputy to the VP, Compliance and Chief Compliance Officer for specific governance, regulatory, and business initiatives.

• Lead enterprise compliance risk assessments, conduct annual compliance reviews, and manage monitoring, testing, issue management, and governance reporting.

• Develop and refine a risk assessment framework that supports targeted monitoring, testing, and remediation efforts.

• Supervise, mentor, and nurture a team of compliance professionals.

• Collaborate with business leaders and control functions regarding regulatory requirements, conflicts of interest, fiduciary responsibilities, and supervisory expectations.

• Direct regulatory examinations, internal audits, and annual reviews, coordinating responses and remediation efforts.

• Deliver compliance reports, trends, and recommendations to senior leadership, governance committees, and boards.

• Keep abreast of regulatory developments and enhance policies, procedures, controls, and compliance programs accordingly.

• Champion technology, automation, analytics, and AI-enabled compliance capabilities.

⛳️ Requirements

• A bachelor's degree or equivalent experience is required.

• A Juris Doctor degree is preferred.

• A minimum of 10 years of progressive compliance experience in investment advisers, registered funds, asset management, or broker-dealer businesses.

• At least 5 years of experience in a leadership role.

• Over 10 years of experience working with the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, FINRA rules, and related regulatory expectations.

• A minimum of 8 years leading personal trading, Code of Ethics, monitoring, testing, risk assessments, and compliance program oversight.

• Excellent communication skills with the ability to influence senior leaders and present complex topics in a clear manner.

• Experience collaborating with regulators, auditors, and governance committees during examinations and reviews.

• FINRA Series 65 or 66 certification is required.

• FINRA fingerprinting is mandatory.

• High ethical standards, sound judgment, and the ability to manage confidential information with discretion.

• Applicants must have authorization to work for any employer in the U.S.; employment visa sponsorship is not available, including CPT/OPT.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

• 401(k) plan with company matching contributions up to 6%.

• Financial advisory services.

• Potential discretionary retirement contributions by the company.

• A broad investment lineup.

• Tuition reimbursement of up to $5,250 per year.

• A business-casual environment with the 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 employees.

• A flexible work environment.

• Reliable high-speed internet and necessary computer equipment provided for remote and hybrid positions.