Senior Director, Front Office Advice & Guidance

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 Senior Director of Front Office Advice and Guidance, you will serve as a trusted compliance advisor to Empower's front-office and supervisory leaders. You'll guide the advice, sales, and service functions within Empower Personal Wealth (EPW) and Empower Workplace Solutions (EWS) to ensure activities meet all regulatory and internal standards. Leading a team of compliance professionals, you'll provide oversight across both broker-dealer and investment advisory operations-helping Empower deliver advice with integrity, transparency, and consistency.

What you will do :

Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS

Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters

Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940

Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions

Define and manage compliance initiatives supporting advice, distribution, and supervision functions

Coordinate across business and control partners to implement new or evolving regulatory requirements

Track open compliance issues to ensure timely resolution and escalation as needed

Communicate emerging risks, trends, and program updates to senior management and key stakeholders

Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities

Represent Compliance on committees and working groups related to client advice, supervision, and service

What you will bring :

Bachelor's degree or equivalent experience (advanced degree preferred)

10+ years of compliance experience within broker-dealer and investment advisory environments

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

Proven experience leading compliance programs or advisory functions at a senior level

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.

Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends

Strong knowledge of advice delivery, supervision, and client interaction frameworks

Excellent communication and relationship-building skills across business and control teams

Strategic thinking and sound judgment in applying regulatory standards to business initiatives

Must demonstrate a "challenger" mindset and strong relationship skills to build durable, collaborative partnerships with business leaders

What will set you apart :

Recognized as a trusted compliance advisor to senior leadership

Experience building or transforming compliance programs in dynamic business settings

Deep familiarity with compliance governance and control effectiveness assessments

Track record of identifying and remediating control weaknesses through partnership

Proven success balancing business objectives with regulatory expectations

Exceptional written and verbal communication skills for executive audiences

• 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

$135,300.00 - $196,125.00

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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