About this opportunity
Empower Retirement lists this Executive Director, Compliance Monitoring & Surveillance opportunity in greenwood village, South Carolina. Review the employer’s description below for duties, qualifications and application requirements.
Job description
Empower Retirement is seeking a Senior Director of Compliance Monitoring and Surveillance to lead a team across front-office functions in Colorado. You will establish monitoring strategies, detect control gaps, and design data-driven surveillance solutions to reduce regulatory risk.
You will report findings to Compliance leadership and drive program enhancements with a risk-based approach. You will develop KPIs, mentor professionals, and ensure adherence to SEC/FINRA/DOL and state requirements,
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Who can apply
Review the original listing for work authorization, qualifications and employer requirements.