Senior Director, Compliance Monitoring & Surveillance
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Job Description
Senior compliance leader overseeing risk-based monitoring and surveillance for Empower’s financial services businesses. Directing regulatory controls, analytics, reporting, remediation, and compliance teams.
Responsibilities:
- Establish strategies, priorities, goals, and procedures for Empower’s Compliance Monitoring and Surveillance program
- Lead detection of compliance control gaps, deficiencies, and potential violations across sales practices, marketing, client interactions, electronic communications, and other front-office activities
- Design and implement technology- and data-driven surveillance solutions
- Develop and enhance risk-based compliance monitoring and surveillance controls for SEC, FINRA, DOL, and state regulatory requirements
- Develop reporting for Compliance leadership on findings, emerging risks, trends, metrics, and program enhancements
- Establish and monitor KRIs, KPIs, surveillance thresholds, and program effectiveness metrics
- Advise senior leadership, Supervising Principals, and business partners on compliance policies and regulatory considerations
- Lead the Compliance monitoring and surveillance team, including talent selection, workload management, performance management, mentoring, and professional development
- Promote quality execution, accountability, professional growth, and alignment with compliance and ethical standards
- Track compliance issues and oversee remediation, escalation, follow-up, and closure
- Communicate significant compliance risks, findings, and trends to senior leadership and stakeholders
- Develop and refine policies, procedures, controls, and oversight mechanisms
Requirements:
- 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
- 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
- Experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs
- Experience with sales practice monitoring, electronic communications surveillance, and front-office compliance oversight
- Experience leveraging surveillance technology, data analytics, reporting, and automation
- Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements
- Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight
- Ability to identify, assess, and measure regulatory and operational risks and evaluate compliance controls
- Ability to develop, analyze, and interpret data, metrics, and reporting
- Ability to build, develop, and lead high-performing teams
- Exceptional written and verbal communication skills
- Ability to partner with senior leadership and business leaders
- Strategic thinking, sound judgment, and effective decision-making
- Ability to work independently in a collaborative, cross-functional environment
- Experience with surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower
- Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available
Benefits:
- Medical, dental, vision and life insurance
- 401(k) plan with generous company matching contributions (up to 6%)
- Financial advisory services
- Potential company discretionary contribution
- Broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment including the option to wear jeans
- Generous paid time off upon hire
- 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
- 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
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