Senior Director Personal Trading & Compliance

Senior Director, Personal Trading & Compliance

Lead Empower's Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services. Serve as a senior leader within Compliance, helping shape a scalable, risk‑based compliance program that supports investment advisers, registered funds, separate accounts, and broker‑dealer businesses. Work closely with business leaders, Legal, Risk, and executive leadership to strengthen the compliance framework while navigating an evolving regulatory environment.

• Lead the firm’s Personal Trading and Code of Ethics program, including pre‑clearance, employee trading reviews, restricted list oversight, certifications, and disclosures.
• Serve as deputy to the VP, Compliance and Chief Compliance Officer for designated governance, regulatory, and business initiatives.
• Direct enterprise compliance risk assessments, annual compliance reviews, monitoring, testing, issue management, and governance reporting.
• Design and enhance a risk assessment framework that supports targeted monitoring, testing, and remediation activities.
• Manage, coach, and develop a team of compliance professionals while fostering a culture of accountability, collaboration, and continuous improvement.
• Partner with business leaders and control functions to provide guidance on regulatory requirements, conflicts of interest, fiduciary obligations, and supervisory expectations.
• Lead regulatory examinations, internal audits, and annual reviews, coordinating responses and remediation efforts.
• Present compliance reporting, trends, and recommendations to senior leadership, governance committees, and boards.
• Monitor regulatory developments and implement enhancements to policies, procedures, controls, and compliance programs.
• Sponsor technology, automation, analytics, and AI‑enabled compliance capabilities that strengthen surveillance, reporting, and operational effectiveness.

• Bachelor’s degree or equivalent experience required;
  Juris Doctor preferred.
• 10+ years of progressive compliance experience supporting investment advisers, registered funds, asset management, or broker‑dealer businesses.
• 5+ years of people leadership experience, including coaching, performance management, and team development.
• Deep knowledge of the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Exchange Act of 1934, FINRA rules, and related regulatory expectations.
• Experience leading personal trading, Code of Ethics, monitoring, testing, risk assessments, and compliance program oversight.
• Strong communication skills with the ability to influence senior leaders and present complex topics clearly.
• Experience partnering with regulators, auditors, and governance committees during examinations and reviews.
• FINRA Series 65 or 66 required.
• FINRA fingerprinting required.
• High ethical standards, sound judgment, and the ability to manage confidential information with discretion.

• Juris Doctor or other advanced degree.
• Experience modernizing compliance programs through technology, analytics, automation, or AI‑enabled monitoring.
• Knowledge of compliance governance across registered investment advisers, registered funds, separate accounts, and broker‑dealers.
• Experience developing compliance metrics, key risk indicators, and executive reporting.
• Demonstrated success designing scalable compliance controls and risk‑based monitoring programs.
• Continuous improvement mindset with a track record of strengthening compliance processes and controls.
• Ability to identify emerging regulatory risks and translate them into practical business solutions.
• Strong executive presence with experience advising senior leadership and boards.
• Experience overseeing third‑party compliance due diligence and ongoing monitoring.
• Reputation for building collaborative partnerships and developing high‑performing compliance teams.

• Medical, dental, vision, and life insurance.
• 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tu…