Empower

Senior Director, Front Office Advice & Guidance

Empower

full-time

Posted on:

Location Type: Remote

Location: United States

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Salary

💰 $138,000 - $200,100 per year

Job Level

Senior

About the role

  • Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS
  • Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters
  • Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940
  • Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions
  • Define and manage compliance initiatives supporting advice, distribution, and supervision functions
  • Coordinate across business and control partners to implement new or evolving regulatory requirements
  • Track open compliance issues to ensure timely resolution and escalation as needed
  • Communicate emerging risks, trends, and program updates to senior management and key stakeholders
  • Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities
  • Represent Compliance on committees and working groups related to client advice, supervision, and service

Requirements

  • Bachelor’s degree or equivalent experience (advanced degree preferred)
  • 10+ years of compliance experience within broker-dealer and investment advisory environments
  • FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines.
  • FINRA fingerprinting required
  • Proven experience leading compliance programs or advisory functions at a senior level
  • Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends
  • Strong knowledge of advice delivery, supervision, and client interaction frameworks
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 & Tools
compliance frameworkregulatory interpretationrisk-based solutionscompliance policiesgovernance frameworkscompliance initiativesclient conduct supervisionadvice delivery frameworksregulatory requirements managementcompliance issue tracking
Soft Skills
communicationleadershipadvisory skillsstakeholder managementproblem-solvingorganizational skillscollaborationstrategic thinkingrisk assessmenttrend analysis
Certifications
FINRA Series 7FINRA Series 65FINRA Series 66FINRA 9/10FINRA 24FINRA fingerprinting