Senior Analyst, Personal Trading & Compliance
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Job Description
Sr Analyst providing support for monitoring personal trading activity at Empower. Collaborating with business partners to execute Compliance processes and regulatory research.
Responsibilities:
- Monitors personal trading activity of access persons and Empower representatives.
- Reviews outside brokerage accounts and trading activity.
- Investigates potential exceptions, analyzes trends, and maintains accurate records and reporting.
- Executes established procedures related to employee trading, annual certifications, and recordkeeping.
- Performs periodic testing activities related to Compliance with internal policies.
- Prepares recurring reports and documentation for management and regulatory examinations.
- Provides day-to-day support for Code of Ethics communications and training.
- Identifies opportunities for process improvement using analytics and AI-enabled tools.
Requirements:
- Bachelor’s degree required in finance, accounting, or law; equivalent work experience may be considered.
- 7+ years of experience in Compliance, financial services, securities operations, investment adviser operations, or a securities regulator environment.
- Experience should include personal trading Compliance, Code of Ethics administration, employee surveillance, and/or trade monitoring systems (e.g., StarCompliance).
- Experience working in a global environment and supporting US regulatory or Compliance processes preferred.
- FINRA fingerprinting required.
- Strong working knowledge of securities laws and regulations applicable to investment advisers, broker-dealers, mutual funds, and/or personal trading Compliance programs.
- Strong analytical ability, attention to detail, sound judgment, and ability to manage multiple priorities in a deadline-driven environment, including complex reviews, escalations, and recurring reporting deliverables.
- Ability to analyze data, document reviews, and clearly communicate findings, questions, and recommended actions.
- Ability to follow independently apply established procedures, identify potential issues, evaluate exceptions, recommend next steps, and escalate matters appropriately.
- Experience using approved artificial intelligence-enabled tools, including custom GPTs or similar workflow tools, to improve efficiency, consistency, documentation, and reporting, subject to appropriate controls and governance.
- Strong written and verbal communication skills and ability to work collaboratively with Compliance, legal, operations, technology, and business partners.
- Proficiency with Microsoft Office, especially Excel, and ability to learn and use Compliance monitoring, workflow, and reporting systems.
- Ability to work effectively across teams and time zones in a dynamic environment.
Benefits:
- flexible work environment
- fluid career paths
- celebrate internal mobility
- inclusive environment
- thousands of hours volunteering
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