Director Personal Trading & Compliance

Responsibilities

• Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity
• Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies
• Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback
• Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making
• Track and report key program metrics, escalating issues and recommending remediation when needed
• Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics
• Monitor regulatory developments and guide updates to Empower's compliance framework
• Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews
• Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls
• Present program updates and insights to senior leadership, Compliance committees, and boards

Requirements

• Bachelor's degree or equivalent experience (law degree preferred)
• 8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules
• Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations
• Demonstrated leadership managing compliance or risk teams
• Proven ability to assess control environments and drive effective remediation
• Deep understanding of industry regulations and operational best practices
• Excellent communication, analytical, and relationship-building skills
• Strong judgment, discretion, and integrity in handling sensitive information
• Experience navigating dynamic, fast-growing financial environments
• What will set you apart
• FINRA Series 6, 7, 24, or 65 licenses (or ability to obtain within set timelines)
• Experience leading compliance technology or automation initiatives
• Familiarity with AI tools and data-driven compliance solutions
• Prior experience presenting to boards or senior committees
• Strong strategic and operational mindset with the ability to simplify complex issues
• Record of proactive engagement with regulators and internal partners
• Track record of building high-performing, collaborative compliance teams
• 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.***
• 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 Range
• $125,400.00 - $1

Benefits

Additional Information

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 the Director of Personal Trading and Compliance, you will lead Empower's Code of Ethics and personal trading oversight for Empower Capital Management (ECM), Empower Advisory Group (EAG), and Empower Financial Services (EFSI). You'll manage a high-performing team, strengthen our compliance culture, and ensure all trading activity meets regulatory and internal standards. Your leadership helps protect Empower's reputation, build trust with regulators and clients, and advance a culture of ethical conduct across our advisory and broker-dealer businesses.

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