Job description
Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.
Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.
The Senior Director, Compliance Monitoring and Surveillance leads a team of compliance professionals responsible for identifying and addressing compliance control gaps, potential operational deficiencies in compliance controls, and potential compliance violations. This leader establishes the strategy and directs ongoing compliance monitoring and surveillance activities across Empower’s front-office functions, including Empower Personal Wealth and Workplace Solutions.
The Sr. Director also leads strategic initiatives supporting Empower’s compliance program and culture through initiation, development, implementation, and ongoing enhancement.
What You Will Do
Partner with Empower Compliance leadership to establish strategies, priorities, goals, and procedures for the Compliance Monitoring and Surveillance program across Empower Personal Wealth and Workplace Solutions.
Lead the effective and efficient detection of compliance control gaps, deficiencies, and potential violations involving sales practices, marketing, client interactions, electronic communications, and other front-office activities.
Identify, design, and implement technology and data-driven surveillance solutions that support the detection and analysis of high-risk sales practice behaviors and generate actionable opportunities to reduce compliance risk.
Develop, implement, and continuously enhance risk-based compliance monitoring and surveillance controls to support compliance with applicable SEC, FINRA, DOL, and state regulatory requirements.
Develop and deliver reporting to Compliance leadership summarizing key findings, emerging risks, trends, metrics, and opportunities for program enhancement.
Establish and monitor key risk indicators (KRIs), key performance indicators (KPIs), surveillance thresholds, and other metrics used to evaluate the effectiveness of the Compliance Monitoring and Surveillance program.
Advise senior leadership, Supervising Principals, and business partners regarding compliance policies and considerations associated with new or changing regulations, products, services, and business initiatives using a risk-based approach.
Lead a team of Compliance professionals responsible for monitoring and surveillance, including talent selection, workload management, performance management, mentoring, and professional development.
Provide leadership and guidance that promote quality execution, accountability, professional growth, and alignment with Empower’s compliance and ethical standards.
Track identified compliance issues and oversee appropriate remediation, escalation, follow-up, and closure within established timelines and regulatory expectations.
Communicate significant compliance risks, findings, and trends to senior Compliance leadership and other appropriate stakeholders.
Develop and refine policies, procedures, controls, and oversight mechanisms designed to mitigate compliance risk and support compliant business activities.
What You Will Bring
Bachelor’s degree or equivalent work experience required
10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry
8+ years of leadership experience overseeing compliance monitoring and surveillance programs within a regulated financial services environment, including demonstrated experience leading and developing compliance professionals
FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe
FINRA Fingerprinting required
Demonstrated experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs, including sales practice monitoring, electronic communications surveillance, and front-office compliance oversight
Experience leveraging surveillance technology, data analytics, reporting, and automation to strengthen compliance monitoring and risk detection
Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements relevant to front-office financial services activities
Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight
Demonstrated ability to identify, assess, and objectively measure regulatory and operational risks, evaluate the effectiveness of compliance controls, and recommend practical, risk-based solutions
Demonstrated ability to develop, analyze, and interpret data, metrics, and reporting to identify trends, emerging risks, and opportunities for program enhancement
Proven ability to build, develop, and lead high-performing teams while fostering accountability, collaboration, and continuous improvement
Exceptional written and verbal communication skills, including the ability to communicate complex compliance matters and influence senior leaders and diverse stakeholders
Demonstrated ability to partner with senior leadership and business leaders on compliance risks, strategic initiatives, governance activities, and business objectives
Strategic thinking, sound judgment, and effective decision-making in a dynamic regulatory environment
Ability to work independently and effectively in a collaborative, cross-functional environment
Experience with specific surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower
What Will Set You Apart
Relevant advanced degree
Experience leading enterprise-scale compliance monitoring and surveillance transformation or technology modernization initiatives
Experience applying advanced analytics, automation, or data-driven methodologies to surveillance and compliance risk detection
Challenger mindset and strong relationship-building skills, with demonstrated ability to constructively challenge existing practices and influence organizational change
***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
What we offer you
We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
Base Salary Range
$144,900.00 - $210,075.00The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.
Equal opportunity employer • Drug-free workplace
We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.***
Job Posting End Date at 12:01 am on:
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Originally posted on Himalayas
Who can apply
Eligible countries: United States. Accepted UTC offsets: UTC-10, UTC-9, UTC-8, UTC-7, UTC-6, UTC-5, UTC+14. Review the full description for employer-specific work authorization, residency and schedule requirements.