Senior Director, Compliance Monitoring & Surveillance

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

📋 Description

• Develop strategies, priorities, objectives, and procedures for Empower’s Compliance Monitoring and Surveillance program.

• Oversee the identification of compliance control gaps, deficiencies, and potential violations across sales practices, marketing, client interactions, electronic communications, and other front-office operations.

• Create and execute technology- and data-driven surveillance solutions.

• Enhance risk-based compliance monitoring and surveillance controls to meet SEC, FINRA, DOL, and state regulatory standards.

• Generate reports for Compliance leadership detailing findings, emerging risks, trends, metrics, and program improvements.

• Establish and track Key Risk Indicators (KRIs), Key Performance Indicators (KPIs), surveillance thresholds, and metrics for program effectiveness.

• Provide guidance to senior leadership, Supervising Principals, and business partners on compliance policies and regulatory considerations.

• Lead the Compliance monitoring and surveillance team, managing talent selection, workload distribution, performance evaluations, mentoring, and professional development.

• Foster quality execution, accountability, professional development, and alignment with compliance and ethical standards.

• Monitor compliance issues and manage remediation, escalation, follow-ups, and closures.

• Report significant compliance risks, findings, and trends to senior leadership and stakeholders.

• Create and refine policies, procedures, controls, and oversight mechanisms.

⛳️ Requirements

• Bachelor’s degree or equivalent work experience is required.

• More than 10 years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services sector.

• At least 8 years of leadership experience managing compliance monitoring and surveillance programs in a regulated financial services environment.

• Proven experience in leading and mentoring compliance professionals.

• Possession of FINRA Series 7 and 65, or Series 7 and 66, is required or the ability to obtain them within the company-mandated timeframe.

• FINRA Fingerprinting is necessary.

• Experience in developing, implementing, and continually enhancing risk-based compliance monitoring and surveillance programs.

• Knowledge of sales practice monitoring, electronic communications surveillance, and front-office compliance oversight.

• Experience utilizing surveillance technology, data analytics, reporting, and automation.

• Strong understanding of SEC, FINRA, DOL, and relevant state regulatory requirements.

• In-depth knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight.

• Capability to identify, assess, and measure regulatory and operational risks and evaluate compliance controls.

• Proficiency in developing, analyzing, and interpreting data, metrics, and reports.

• Ability to build, develop, and lead high-performing teams.

• Outstanding written and verbal communication skills.

• Capacity to collaborate effectively with senior leadership and business leaders.

• Strategic thinking, sound judgment, and effective decision-making skills.

• Ability to work independently within a collaborative, cross-functional environment.

• Experience with surveillance, communications-monitoring, analytics, or business intelligence platforms utilized by Empower.

• Candidates must be authorized to work for any employer in the U.S.; no employment visa sponsorship is available.

🏝️ Benefits

• Medical, dental, vision, and life insurance.

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

• Financial advisory services.

• Potential discretionary contribution from the company.

• Extensive investment options.

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

• Business-casual work environment, with the option to wear jeans.

• Generous paid time off from the start.

• 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 benefits.

• 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.