Senior Director Personal Trading & Compliance

About this role

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…