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.
What You Will Do
- Review and approve complex public, retail, institutional, and internal communications for compliance with applicable FINRA, SEC, state securities, and insurance regulations and company policies.
- File applicable communications materials with FINRA and maintain required advertising and communications records.
- Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials to determine whether communications meet applicable regulatory standards.
- Respond to inquiries from internal business partners regarding communications compliance requirements, regulatory standards, and the communications review process.
- Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations, requests, and inquiries.
- Develop and maintain subject matter expertise in communications regulations, securities and insurance products, and company compliance policies.
- Assist management with maintaining and updating compliance policies based on regulatory changes and changes in business activities.
- Create, maintain, and test procedures and controls related to communications compliance reviews.
- Prepare quarterly and annual compliance reporting for management and senior leadership.
- Research and compile documentation required for regulatory examinations and inquiries.
- Conduct compliance surveillance reviews and investigations as required.
- Coordinate compliance programs and perform operational or surveillance activities required under SEC and FINRA regulations governing broker-dealer and investment adviser affiliates.
- Serve as a subject matter expert for assigned products, services, or regulatory requirements and provide training or guidance to other compliance specialists as needed.
- Educate internal and external business partners on communications, review processes, procedures, product requirements, and relevant regulatory or industry changes.
What You Will Bring
- 5+ years of experience in financial services compliance.
- Knowledge of registered securities products and applicable communications compliance requirements.
- Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications.
- Strong knowledge of FINRA, SEC, ERISA, federal, and state securities regulations and applicable insurance regulations.
- FINRA Series 6 and 26 registrations or Series 7 and 24 registrations
- FINRA Fingerprinting required.
- Strong analytical skills and attention to detail.
- Ability to interpret regulatory requirements and apply them to complex communications.
- Ability to complete communications reviews accurately and within established service or turnaround standards.
- Demonstrated ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment.
- Strong written and verbal communication skills.
- Ability to build effective working relationships with business partners, management, and staff across the organization.
- Ability to work independently with limited supervision while maintaining professionalism, accountability, client focus, and teamwork.
- Proficiency with Microsoft Outlook, Adobe Acrobat, and applicable communications review and recordkeeping
- A bachelor’s degree or equivalent professional experience .
What Will Set You Apart
- Prior experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization.
- Experience responding to FINRA Advertising Regulation inquiries or supporting SEC, FINRA, state, or other regulatory examinations.
- Experience developing, maintaining, or testing communications compliance policies and procedures.
- Experience serving as a communications compliance subject matter expert or training other compliance professionals.
- Working knowledge of Empower's business model, products, and services.
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, 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.
