Lead Specialist 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.

• Monitor personal trading and outside brokerage accounts to ensure compliance with the Code of Ethics
• Review employee trades, identify potential violations, and maintain accurate records of findings
• Enhance policies and procedures for trade pre-clearance, disclosures, and employee attestations
• Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions
• Research and interpret evolving SEC, FINRA, and state rules to inform policy updates and control enhancements
• Prepare quarterly and annual compliance reports for leadership, committees, and regulators
• Serve as a primary contact during audits and regulatory exams related to personal trading
• Develop and deliver Code of Ethics and compliance training that promotes awareness and accountability
• Identify opportunities to streamline processes and strengthen monitoring workflows
• Partner with technology and Compliance Operations teams to design and deploy dashboards and automated workflows using sound governance and documentation

• 7+ years of experience with compliance requirements under the Advisers Act, Investment Company Act, and FINRA/MSRB rules
• FINRA Series 65 license (or ability to obtain within required timelines). FINRA fingerprinting required
• Bachelor's degree or equivalent experience (law degree preferred)
• Hands-on experience with personal trading and Code of Ethics oversight, including use of systems like Star Compliance
• Strong analytical and investigative skills with close attention to detail
• Excellent communication, collaboration, and judgment skills
• Ability to manage multiple priorities in a fast-paced, evolving environment
• High ethical standards and discretion handling confidential information

• Experience with compliance technology or automation tools
• Familiarity with AI and analytics to support compliance monitoring
• Prior involvement in regulatory exams or internal audits
• Proven record of improving compliance processes and workflows
• Demonstrated ability to train and influence employees at all levels
• No history of regulatory findings or sanctions

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.

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.

$96,100.00 - $

The salary range above shows the typical minimum to maximum base salary range for this…