Regulatory Response Lead Specialist

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. Responsibilities Serve as the main contact for federal and state regulators, including the SEC, FINRA, and state agencies. Coordinate intake, tracking, and resolution of exams, inquiries, complaints, and record requests. Partner with Compliance and business teams to assign work, gather records, and meet deadlines. Draft and review regulatory responses, from routine to complex, including supporting documentation. Maintain organized records of all regulatory activity in systems like OnBase and SharePoint. Manage and track recurring and ad hoc regulatory filings to ensure timely completion. Build and improve processes and procedures for regulatory responses and filings. Monitor performance through metrics and reporting, identifying trends and areas for improvement. Qualifications Bachelor’s degree or equivalent experience. 8+ years of compliance or related experience, including direct interaction with regulators. Working knowledge of securities and/or insurance regulations, with ability to research and apply requirements. Experience managing multiple priorities with strict deadlines. Strong written and verbal communication skills across technical and non‑technical audiences. Ability to collaborate effectively across teams and build productive working relationships. Comfort using systems to track work, maintain records, and report outcomes. Fingerprinting required. What Sets You Apart Experience working for a regulator in an examination or investigation role. Familiarity with broker‑dealer, investment adviser, or insurance regulatory frameworks. Experience preparing responses for regulatory exams, complaints, or enforcement inquiries. Ability to design and improve operational processes with a focus on clarity and efficiency. Experience producing metrics, trend analysis, and reporting for senior leadership or boards. Strong attention to detail when managing documentation and regulatory records. Confidence communicating with senior leaders and external regulatory contacts. Experience contributing to regulatory or compliance reporting at an enterprise level. What We Offer 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) – facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. Remote & Hybrid Requirements 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. Salary Base Salary Range: $96,100.00 - $135,700.00. 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. Employment Requirements 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. Equal Opportunity Employer 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. #J-18808-Ljbffr Empower Retirement