Director, Personal Trading & Compliance
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Job Description
Director of Personal Trading and Compliance at Empower leading compliance efforts and managing a high-performing team. Ensuring regulatory adherence and promoting ethical conduct across the organization.
Responsibilities:
- Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity
- Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies
- Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback
- Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making
- Track and report key program metrics, escalating issues and recommending remediation when needed
- Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics
- Monitor regulatory developments and guide updates to Empower’s compliance framework
- Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews
- Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls
- Present program updates and insights to senior leadership, Compliance committees, and boards
Requirements:
- Bachelor’s degree or equivalent experience (law degree preferred)
- 8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules
- Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations
- Demonstrated leadership managing compliance or risk teams
- Proven ability to assess control environments and drive effective remediation
- Deep understanding of industry regulations and operational best practices
- Excellent communication, analytical, and relationship-building skills
- Strong judgment, discretion, and integrity in handling sensitive information
- Experience navigating dynamic, fast-growing financial environments
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) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
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