Investment Advisory Compliance Program Office Manager

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 an Investment Advisory Compliance Program Office Manager, you will support compliance oversight for Empower Capital Management, Empower Advisory Group, and Empower Funds. You'll guide key elements of our compliance program, apply regulatory expertise, and help business partners operate with confidence. Your work strengthens our controls, supports regulatory readiness, and helps us deliver trustworthy advisory services.

What you will do :

Maintain and refresh compliance policies and procedures under the Advisers Act, Investment Company Act, and applicable FINRA / MSRB rules

Review and test controls to assess effectiveness and partner with business teams to close gaps

Prepare reports and filings for leaders, committees, and regulators

Monitor regulatory changes and summarize impacts for advisory and fund businesses

Coordinate exam and audit responses with senior compliance officers, including materials and follow-up

Support compliance training by updating content, tracking completion, and answering questions

Conduct due diligence on sub-advisers and third-party providers

Work with Compliance Operations and technology partners to enhance reporting, testing, and automation

Maintain documentation and records supporting regulatory obligations

Represent Compliance on projects and working groups to embed requirements into new initiatives

What you will bring :

Bachelor's degree or equivalent experience

5+ years in investment advisory or asset management compliance

Working knowledge of SEC, FINRA, and MSRB regulations

Experience supporting compliance programs in a regulated financial institution

Ability to interpret and apply complex regulations

Strong analytical, organizational, and communication skills

Comfort collaborating across teams and managing documentation

Familiarity with compliance systems, reporting tools, or data management

FINRA fingerprinting required

What will set you apart :

Advanced degree (J.D., MBA, or similar)

FINRA Series 65 (or willingness to obtain within the required timeline)

Experience with regulatory exams, audits, or control testing

Background supporting advisory or fund compliance programs

Strength in process improvement or automation tools

Proven ability to explain regulatory expectations in clear, practical terms

• 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

$103,600.00 - $146,350.00

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 :

12-23-2025

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