Director 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.

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.

What you will do :

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

What you will bring :

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.

Base Salary Range

$123,000.00 - $178,350.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and / or skill level and will be finalized at the time of offer.

Equal opportunity employer

We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age (40 and over), race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.

Job Posting End Date at 12 : 01 am on :

12-16-2025

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