Senior Director Compliance Monitoring & Surveillance at Empower

Empower is seeking a highly experienced leader for the role of Senior Director of Compliance Monitoring and Surveillance. This pivotal position leads a team of compliance professionals responsible for identifying and mitigating compliance control gaps, operational deficiencies, and potential regulatory violations across Empower’s front-office functions, including Empower Personal Wealth and Workplace Solutions.

As the Senior Director, you will establish the overall strategy and direct all ongoing compliance monitoring and surveillance activities. You will also drive strategic initiatives to enhance Empower’s compliance program and culture.

What You Will Do

• Partner with Empower Compliance leadership to define strategies, priorities, goals, and procedures for the Compliance Monitoring and Surveillance program within Empower Personal Wealth and Workplace Solutions.
• Lead the detection of compliance control gaps, deficiencies, and potential violations related to sales practices, marketing, client interactions, electronic communications, and other front-office activities.
• Design and implement data-driven surveillance solutions to detect high-risk sales practice behaviors and create actionable opportunities to reduce compliance risk.
• Develop and continuously improve risk-based monitoring and surveillance controls to ensure compliance with SEC, FINRA, DOL, and state regulatory requirements.
• Create and deliver detailed reports to Compliance leadership regarding key findings, emerging risks, trends, metrics, and opportunities for program improvement.
• Establish and oversee key risk indicators (KRIs), key performance indicators (KPI), surveillance thresholds, and other metrics to evaluate the program's effectiveness.
• Advise senior leadership and business partners on compliance policies regarding new or changing regulations, products, services, and business initiatives, using a risk-based approach.
• Lead and manage a team of Compliance professionals, overseeing talent selection, workload management, performance reviews, mentoring, and professional development.
• Ensure quality execution, accountability, and alignment with Empower’s ethical standards through strong leadership.
• Track compliance issues and manage remediation, escalation, follow-up, and closure within regulatory timelines.
• Communicate significant compliance risks, findings, and trends to senior Compliance leadership and relevant stakeholders.
• Develop and refine policies, procedures, controls, and oversight mechanisms to minimize risk and support compliant business activities.

What You Will Bring

• Bachelor’s degree or equivalent professional experience is required.
• Over 10 years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal, specifically within the financial services industry.
• More than 8 years of leadership experience managing compliance monitoring and surveillance programs in a regulated financial services setting, including developing and mentoring compliance professionals.
• Possession of FINRA Series 7 and 65, or Series 7 and 66, is required, or the ability to obtain these within the corporate timeframe. FINRA Fingerprinting is also required.
• Proven track record in developing, implementing, and improving risk-based compliance monitoring and surveillance programs, including sales practice monitoring, electronic communications surveillance, and front-office compliance oversight.
• Experience utilizing surveillance technology, data analytics, reporting, and automation to strengthen compliance monitoring and risk detection.
• Strong understanding of SEC, FINRA, DOL, and applicable state regulatory requirements for front-office financial services.
• Deep knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight.
• Demonstrated ability to identify, assess, and objectively measure regulatory and operational risks, recommending practical, risk-based solutions.
• Proven ability to develop, analyze, and interpret data and metrics to identify trends and program enhancement opportunities.
• Demonstrated success building, developing, and leading high-performing teams that value accountability and continuous improvement.
• Exceptional written and verbal communication skills, capable of influencing senior leaders and diverse stakeholders on complex compliance matters.
• Proven ability to partner with senior leadership and business leaders on strategic governance and compliance risks.
• Strategic thinking, sound judgment, and decision making skills in a dynamic regulatory environment.
• Ability to work independently and collaboratively across functions.
• Familiarity with specific surveillance, communications-monitoring, analytics, or business intelligence platforms used at Empower is a plus.

What Will Set You Apart

• Relevant advanced degree.
• Experience leading enterprise scale compliance monitoring and surveillance transformation or technology modernization projects.
• Experience applying advanced analytics, automation, or data driven methodologies to surveillance and risk detection.
• A challenger mindset with strong relationship building skills, capable of constructively challenging existing practices and influencing organizational change.

Work Eligibility and Compensation: Applicants must be authorized to work for any employer in the U.S. Empower does not sponsor or take over employment visas, including CPT/OPT. Base Salary Range: $144,900.00 - $210,075.00. Non-sales positions may be eligible for a bonus program.

Benefits and Culture

Empower offers an array of diverse and inclusive benefits designed to support a healthy and balanced life, regardless of career stage. These benefits include:

• Health & Wellness: Medical, dental, vision, and life insurance, wellness programs.
• Financial Security: 401(k) plan with up to 6% company match, financial advisory services, potential company discretionary contribution.
• Time Off & Work Life: Generous paid time off upon hire, ten paid company holidays, three floating holidays, and a paid volunteer time of 16 hours per calendar year.
• Growth & Support: Tuition reimbursement up to $5,250/year, Business Resource Groups (BRGs) for inclusion, and leave of absence programs including paid parental leave, paid short- and long-term disability, and FMLA.
• Work Environment: Business casual environment, including the option to wear jeans.