Senior Director Personal Trading & Compliance

About the role

We are seeking a Senior Director, Personal Trading & Compliance to lead our Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services. This role requires a deep understanding of regulatory requirements and a proven track record in compliance.

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
• 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

Qualifications

• High ethical standards, sound judgment, and the ability to manage confidential information with discretion

Skills

• 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
• High ethical standards, sound judgment, and the ability to manage confidential information with discretion

Benefits

• Medical, dental, vision and life insurance
• Roth and Traditional 401(k) plans 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.

Pay

Base Salary Range: $151,800.00 - $220,500.00

Schedule

Remote and hybrid positions require reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.