Director, Personal Trading & Compliance

Empower

Director of Personal Trading and Compliance at Empower leading compliance efforts and managing a high-performing team. Ensuring regulatory adherence and promoting ethical conduct across the organization.

Posted 6/18/2026full-timeRemote • 🇺🇸 United StatesLead💰 $125,400 - $181,875 per yearWebsite

About the role

Key responsibilities & impact

Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity
Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies
Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback
Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making
Track and report key program metrics, escalating issues and recommending remediation when needed
Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics
Monitor regulatory developments and guide updates to Empower’s compliance framework
Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews
Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls
Present program updates and insights to senior leadership, Compliance committees, and boards

Requirements

What you’ll need

Bachelor’s degree or equivalent experience (law degree preferred)
8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules
Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations
Demonstrated leadership managing compliance or risk teams
Proven ability to assess control environments and drive effective remediation
Deep understanding of industry regulations and operational best practices
Excellent communication, analytical, and relationship-building skills
Strong judgment, discretion, and integrity in handling sensitive information
Experience navigating dynamic, fast-growing financial environments

Benefits

Comp & perks

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.

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills & Tools

compliance experiencepersonal trading managementCode of Ethics administrationregulatory compliancedata collectionremediationpolicy developmentprocedures developmentanalyticsautomation

Soft Skills

leadershipcoachingmentorshipcommunicationanalytical skillsrelationship-buildingjudgmentdiscretionintegritygoal setting

Certifications

Bachelor's degreelaw degree (preferred)