Senior Director Personal Trading & Compliance

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. As a Senior Director, Personal Trading & Compliance, you will lead Empower's Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services. You'll serve as a senior leader within Compliance, helping shape a scalable, risk-based compliance program that supports our investment advisers, registered funds, separate accounts, and broker-dealer businesses. Working closely with business leaders, Legal, Risk, and executive leadership, you'll strengthen our compliance framework while helping the business navigate an evolving regulatory environment. What you will do 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 What you will bring 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 What will set you apart Juris Doctor or other advanced degree Experience modernizing compliance programs through technology, analytics, automation, or AI-enabled monitoring Knowledge of compliance governance across registered investment advisers, registered funds, separate accounts, and broker-dealers Experience developing compliance metrics, key risk indicators, and executive reporting Demonstrated success designing scalable compliance controls and risk-based monitoring programs Continuous improvement mindset with a track record of strengthening compliance processes and controls Ability to identify emerging regulatory risks and translate them into practical business solutions Strong executive presence with experience advising senior leadership and boards Experience overseeing third-party compliance due diligence and ongoing monitoring Reputation for building collaborative partnerships and developing high-performing compliance teams ***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.*** What we offer you We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance. 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. Base Salary Range $151,800.00 - $220,050.00 The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer. Equal opportunity employer • Drug-free workplace We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law. ***For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.*** Job Posting End Date at 12:01 am on: 07-14-2026 Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency and sign up for Empower’s free newsletter. Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency and sign up for Empower’s free newsletter. Remote and Hybrid Positions For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment will be provided. You may be required to work in the office if you do not have an adequate homework environment and the required internet connection. Follow Empower Facebook, LinkedIn, X, Instagram, & Glassdoor