Senior Manager, Compliance Inspection
Empower
full-time
Posted on:
Location Type: Remote
Location: Remote • 🇺🇸 United States
Visit company websiteSalary
💰 $103,600 - $146,350 per year
Job Level
Senior
About the role
- 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
Requirements
- 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
- 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.
Benefits
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
data analyticsrisk-based inspectioncompliance programsinspection data analysisregulatory filingsaudit programsprocess efficiencyremediation recommendationsoversight enhancementcontrol design
Soft skills
leadershipcoachingcommunicationteam managementanalytical thinkingproblem-solvingcollaborationadaptabilityattention to detailinsight generation
Certifications
Bachelor's degreeSeries 7Series 24FINRA fingerprinting