Lead Analyst, Personal Trading & Compliance

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 Lead Specialist of Personal Trading and Compliance, you will help protect Empower's reputation by overseeing personal trading and Code of Ethics compliance across the firm. You'll review employee trading activity, manage oversight of outside accounts, and provide expert guidance that helps the business stay aligned with SEC, FINRA, and state regulatory expectations. Your work strengthens Empower's culture of integrity, ensuring employees meet the highest ethical and professional standards.

What you will do :

Monitor personal trading and outside brokerage accounts to ensure compliance with the Code of Ethics

Review employee trades, identify potential violations, and maintain accurate records of findings

Enhance policies and procedures for trade pre-clearance, disclosures, and employee attestations

Conduct compliance reviews and surveillance testing, escalating findings and recommending corrective actions

Research and interpret evolving SEC, FINRA, and state rules to inform policy updates and control enhancements

Prepare quarterly and annual compliance reports for leadership, committees, and regulators

Serve as a primary contact during audits and regulatory exams related to personal trading

Develop and deliver Code of Ethics and compliance training that promotes awareness and accountability

Identify opportunities to streamline processes and strengthen monitoring workflows

Partner with technology and Compliance Operations teams to design and deploy dashboards and automated workflows using sound governance and documentation

What you will bring :

7+ years of experience with compliance requirements under the Advisers Act, Investment Company Act, and FINRA / MSRB rules

FINRA Series 65 license (or ability to obtain within required timelines). FINRA fingerprinting required

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

Hands-on experience with personal trading and Code of Ethics oversight, including use of systems like StarCompliance

Strong analytical and investigative skills with close attention to detail

Excellent communication, collaboration, and judgment skills

Ability to manage multiple priorities in a fast-paced, evolving environment

High ethical standards and discretion handling confidential information

What will set you apart :

Experience with compliance technology or automation tools

Familiarity with AI and analytics to support compliance monitoring

Prior involvement in regulatory exams or internal audits

Proven record of improving compliance processes and workflows

Demonstrated ability to train and influence employees at all levels

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.

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

$94,200.00 - $133,050.00

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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