A remote Engineering Leadership role at Empower.
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Original listing text, shown exactly as published by the company.
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Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity
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Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies
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Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback
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Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making
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Track and report key program metrics, escalating issues and recommending remediation when needed
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Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics
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Monitor regulatory developments and guide updates to Empower’s compliance framework
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Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews
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Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls
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Present program updates and insights to senior leadership, Compliance committees, and boards
What you will bring
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8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules
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Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations
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Demonstrated leadership managing compliance or risk teams
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Proven ability to assess control environments and drive effective remediation
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Deep understanding of industry regulations and operational best practices
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Excellent communication, analytical, and relationship-building skills
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Strong judgment, discretion, and integrity in handling sensitive information
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Experience navigating dynamic, fast-growing financial environments
What will set you apart
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FINRA Series 6, 7, 24, or 65 licenses (or ability to obtain within set timelines)
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Experience leading compliance technology or automation initiatives
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Familiarity with AI tools and data-driven compliance solutions
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Prior experience presenting to boards or senior committees
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Strong strategic and operational mindset with the ability to simplify complex issues
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Record of proactive engagement with regulators and internal partners
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Track record of building high-performing, collaborative compliance teams
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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.***
Empower
Engineering Leadership
36 open roles on Sydicom
Empower is a prominent financial services company. They provide retirement planning, investment management, and financial advice services to individuals and institutions.
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