Senior Product Compliance Manager
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Job Description
Senior Compliance Product Manager providing strategic compliance leadership and guidance across Empower’s product lifecycle governance with a focus on regulatory compliance.
Responsibilities:
- Provide compliance guidance from product concept through post-launch oversight
- Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products
- Identify and coordinate updates to ADV filings, disclosures, and policies tied to product changes
- Review and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules
- Collaborate with business partners to balance innovation with regulatory expectations
- Participate in governance forums, committees, and working groups on product development and communications
- Track regulatory developments and advise leadership on potential product impacts
- Maintain and enhance internal procedures supporting Empower’s product compliance framework
- Prepare summaries and reports for senior leadership on compliance activities and emerging risks
- Partner with cross-functional stakeholders to ensure product-related risks are identified, documented, and mitigated
Requirements:
- Bachelor’s degree or equivalent experience (advanced degree preferred)
- 10+ years of financial services compliance experience with a focus on product development and oversight
- Must have the ability to learn and develop a deep understanding of the business; build strong relationships through regular communication and active participation in committees and projects; and objectively assess inherent regulatory risks. This includes developing a comprehensive understanding of the control environment, accurately identifying weaknesses, measuring control effectiveness, and partnering with the business to advocate for and drive effective remediation.
- FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines.
- FINRA fingerprinting required
- Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations
- Deep understanding of complex products such as SMAs, alternatives, and capital markets offerings
- Proven experience reviewing marketing materials for regulatory accuracy and fairness
- Ability to analyze regulatory trends and provide practical, risk-based solutions
- Excellent communication, collaboration, and relationship-building skills.
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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