Senior Director, Personal Trading & Compliance
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Job Description
Senior Director leading Empower's Personal Trading and Code of Ethics program for compliance. Collaborating with senior leadership to navigate the regulatory environment and strengthen the compliance framework.
Responsibilities:
- Lead the firm's Personal Trading and Code of Ethics program, including pre-clearance, employee trading reviews, restricted list oversight, certifications, and disclosures
- Serve as deputy to the VP, Compliance and Chief Compliance Officer for designated governance, regulatory, and business initiatives
- Direct enterprise compliance risk assessments, annual compliance reviews, monitoring, testing, issue management, and governance reporting
- Design and enhance a risk assessment framework that supports targeted monitoring, testing, and remediation activities
- Manage, coach, and develop a team of compliance professionals while fostering a culture of accountability, collaboration, and continuous improvement
- Partner with business leaders and control functions to provide guidance on regulatory requirements, conflicts of interest, fiduciary obligations, and supervisory expectations
- Lead regulatory examinations, internal audits, and annual reviews, coordinating responses and remediation efforts
- Present compliance reporting, trends, and recommendations to senior leadership, governance committees, and boards
- Monitor regulatory developments and implement enhancements to policies, procedures, controls, and compliance programs
- Sponsor technology, automation, analytics, and AI-enabled compliance capabilities that strengthen surveillance, reporting, and operational effectiveness
Requirements:
- Bachelor's degree or equivalent experience required; Juris Doctor preferred
- 10+ years of progressive compliance experience supporting investment advisers, registered funds, asset management, or broker-dealer businesses
- 5+ years of people leadership experience, including coaching, performance management, and team development
- Deep knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, FINRA rules, and related regulatory expectations
- Experience leading personal trading, Code of Ethics, monitoring, testing, risk assessments, and compliance program oversight
- Strong communication skills with the ability to influence senior leaders and present complex topics clearly
- Experience partnering with regulators, auditors, and governance committees during examinations and reviews
- FINRA Series 65 or 66 required
- FINRA fingerprinting required
- High ethical standards, sound judgment, and the ability to manage confidential information with discretion.
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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