Counsel

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, fluid career paths, and we celebrate internal mobility. Purpose, well‑being, and work‑life balance are important, and we strive to create a welcoming and inclusive environment. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. Empower is transforming how Americans experience wealth, bridging retirement and personal wealth products and services to deliver more holistic, accessible financial solutions. Empower is seeking a Counsel to join the Advisory & Broker‑Dealer legal team, which provides legal advice and guidance to Empower and its affiliated companies. The team handles a broad range of complex legal matters relating to recordkeeping and administration of corporate, not‑for‑profit and governmental defined contribution and defined benefit employee benefit plans, as well as retail product and service offerings, including IRAs, brokerage accounts, and managed account advisory services under the "Empower Personal Wealth" brand. What you will do: Advise on matters pertaining to the Investment Advisers Act of 1940, including registration requirements, disclosure obligations, and fiduciary duties. Advise on matters concerning the Securities Exchange Act of 1934, such as Regulation Best Interest, reporting and disclosure obligations, trading regulations, and corporate governance requirements. Advises on compliance with FINRA rules and regulations, including broker‑dealer conduct, advertising, and recordkeeping requirements. Monitor, research, review, and analyze new state and federal laws and regulations impacting Empower’s broker‑dealer and investment advisory business. Partner with Empower business groups and leaders to identify and address legal issues, including product development, sales, operations, client service, call center, marketing and education teams. Support the negotiation of Empower contractual arrangements with plan sponsors and individual clients related to brokerage and/or advisory services. Provide legal counsel on corporate governance matters related to the Advisers Act, Exchange Act, and FINRA rules. Advise on legal and regulatory issues related to stock plan services, including equity compensation plan administration, participant‑facing brokerage and advisory service considerations, disclosures, client agreements, operations, and related product or service initiatives. Advise on political contributions, pay‑to‑play, and political law compliance matters, including related policies, monitoring, disclosures, public sector client considerations, and applicable federal, state, and local requirements. Interact with representatives from the FINRA, SEC, and state regulatory agencies and assist with responses to various regulatory inquiries. The position requires the following skills and expertise: Ability to efficiently identify and analyze the legal aspects of a business problem and provide practical, actionable legal advice. Willingness to engage and build relationships with business clients at all levels of seniority as a trusted legal partner. Ability to communicate complex legal concepts clearly and efficiently verbally and in writing to non‑lawyers and provide risk‑based compliance approaches. Ability to work as a team member, both within the Workplace Solutions & Empower Personal Wealth legal team and with other legal department colleagues. Ability to work independently to manage multiple, competing priorities and attain results by exercising appropriate judgment to manage matters through ambiguity and to completion. What you will bring: Juris Doctor / Law Degree from an accredited law school. Current admission to at least one state bar and a license to practice law in the United States. 2 or more years of relevant legal experience. Ability to efficiently identify and analyze the legal aspects of a business problem and provide practical, actionable legal advice. Ability to communicate complex legal concepts clearly and efficiently verbally and in writing to non‑lawyers and provide risk‑based compliance approaches. Ability to work as a team member. Ability to engage and build relationships with business clients at all levels of seniority as a trusted legal advisor. What will set you apart: In‑house experience at a broker‑dealer firm, investment adviser, insurance company, retirement recordkeeper, or other financial services company with experience in advising on broker‑dealer matters, investment products or advisory services. Familiarity with the Advisers Act, Exchange Act and/or FINRA rules. Experience advising on stock plan services, equity compensation plan administration or related brokerage, advisory, and participant‑service matters. Experience with political contributions, pay‑to‑play, and political law compliance for regulated financial services firms. Previous experience related to corporate governance matters for a large organization. How We Work at Empower We value collaboration, transparency, and shared ownership. Our legal team is a critical enabler of innovation, not a barrier. Operate with a "one team" mindset, building strong, trust‑based relationships across functions. Communicate clearly and pragmatically, translating complex legal concepts into actionable guidance. Takes accountability, exercises sound judgment, and leads with integrity. Embrace Empower's values and contribute to a culture where diverse perspectives and ideas drive better outcomes. Proactively align with legal, compliance, and risk partners to ensure consistent, enterprise‑wide positions, avoiding siloed or fragmented advice. Why Empower Empower is uniquely positioned at the convergence of retirement and wealth. This creates an opportunity to support differentiated products and services that meaningfully improve financial outcomes for millions of people. In this role you will help support the legal foundation for how retirement and wealth solutions converge. If you are looking for a role where you can build practical legal skills, contribute to innovative solutions, and be part of a collaborative, mission‑driven culture, we would like to meet you. 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. These benefits support a healthy and balanced life, which enhances 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 per 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 and the communities where we live, work and play. Base Salary Range $125,400.00 – $181,875.00 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, 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