Senior Product Compliance Manager

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 Sr. Compliance Product Manager, you will provide strategic compliance leadership and guidance across Empower’s product lifecycle governance. You’ll partner with leaders in Product, Legal, and Risk to ensure investment and advisory offerings are designed, launched, and maintained in alignment with SEC, FINRA, and DOL regulations. Your work ensures Empower’s products are built on transparency, integrity, and trust—helping protect clients and strengthen Empower’s reputation in the marketplace.

• Provide compliance guidance from product concept through post-launch oversight
• Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products
• Identify and coordinate updates to ADV filings, disclosures, and policies tied to product changes
• Review and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules
• Collaborate with business partners to balance innovation with regulatory expectations
• Participate in governance forums, committees, and working groups on product development and communications
• Track regulatory developments and advise leadership on potential product impacts
• Maintain and enhance internal procedures supporting Empower’s product compliance framework
• Prepare summaries and reports for senior leadership on compliance activities and emerging risks
• Partner with cross-functional stakeholders to ensure product-related risks are identified, documented, and mitigated

• Bachelor’s degree or equivalent experience (advanced degree preferred)
• 10+ years of financial services compliance experience with a focus on product development and oversight
• Must have the ability to learn and develop a deep understanding of the business; build strong relationships through regular communication and active participation in committees and projects; and objectively assess inherent regulatory risks. This includes developing a comprehensive understanding of the control environment, accurately identifying weaknesses, measuring control effectiveness, and partnering with the business to advocate for and drive effective remediation.
• FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines. FINRA fingerprinting required
• Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations
• Deep understanding of complex products such as SMAs, alternatives, and capital markets offerings
• Proven experience reviewing marketing materials for regulatory accuracy and fairness
• Ability to analyze regulatory trends and provide practical, risk-based solutions
• Excellent communication, collaboration, and relationship-building skills

• Experience supporting full product lifecycle governance at a large broker‑dealer or investment adviser
• Must bring a true “challenger” mindset paired with strong relationship‑building skills that support long‑term, collaborative partnerships with business leaders
• Track record influencing senior leaders and shaping compliance strategy
• Familiarity with technology and data tools that enhance compliance oversight
• Demonstrated ability to balance business objectives with regulatory requirements
• Recognized as a trusted, proactive compliance advisor and partner

*** 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.***

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