Senior Manager Compliance Inspection

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 Senior Manager Compliance Inspection, you will lead a team responsible for designing and executing a data-driven, risk-based inspection program that meets regulatory expectations. You'll use technology and analytics to strengthen oversight, improve efficiency, and identify emerging risks. Your leadership ensures Empower maintains a strong control environment and a proactive approach to compliance.

What you will do :

Build and execute a risk-based inspection program that adapts to regulatory changes and business priorities

Use technology and data analytics to streamline inspection workflows and identify emerging trends

Develop and manage the inspection schedule, ensuring timely completion and balanced coverage across risk tiers

Oversee data collection and reporting for regulatory filings, including FINRA's Remote Inspection Pilot

Lead and coach a team of compliance specialists to deliver high-quality inspection results and actionable insights

Analyze inspection outcomes to identify trends, escalate issues, and recommend remediation

Partner with Legal, Risk, and Operations to enhance oversight and improve control design

Maintain complete and accurate inspection records in compliance with regulatory standards

Apply AI and workflow tools to improve process efficiency and transparency

What you will bring :

Bachelor's degree in business, finance, accounting, law, or equivalent experience

10+ years in compliance, audit, or regulatory roles within financial services

3-5 years leading teams or managing inspection or audit programs

Strong understanding of FINRA and SEC requirements for broker-dealers and investment advisers

Experience building or managing risk-based, data-driven compliance programs

Demonstrated ability to analyze inspection data, assess risk, and communicate findings clearly

Series 7 and 24 (or equivalent) and FINRA fingerprinting

What will set you apart :

Experience participating in FINRA's Remote Inspection Pilot or similar regulatory initiatives

Proven success using AI or automation tools to drive compliance efficiency

Advanced data visualization or reporting skills

Strong project management and stakeholder communication abilities

Ability to anticipate regulatory trends and evolve programs proactively

• 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 :

12-16-2025

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