Empower

Lead Specialist, Personal Trading & Compliance

Empower

full-time

Posted on:

Location Type: Remote

Location: United States

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Salary

💰 $96,100 - $135,700 per year

Job Level

Senior

About the role

  • 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

Requirements

  • 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
Benefits
  • Medical, dental, vision and life insurance
  • Retirement savings – 401(k) plan with generous company matching contributions (up to 6%)
  • 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 & Tools
compliance requirementspersonal trading oversightCode of Ethics oversightanalytical skillsinvestigative skillsattention to detailpolicy updatessurveillance testingprocess streamliningreport preparation
Soft Skills
communication skillscollaboration skillsjudgment skillsability to manage multiple prioritieshigh ethical standardsdiscretion
Certifications
FINRA Series 65 licenseFINRA fingerprinting