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Empower · 2 hours ago

VP EPW Supervision, Audit & Control

United States

Full-time

Remote

Senior Level, Lead/Staff

$172K/yr - $249K/yr

10+ years exp

Empower is committed to transforming financial lives and fostering a flexible work environment. The VP of EPW Supervision, Audit & Control will lead the Supervision, Audit, Quality Assurance, Control, and Incident Management functions, ensuring compliance with regulatory requirements while enhancing the risk and control environment.

Employee BenefitsNon ProfitSocial

No H1B

Responsibilities

Oversee all supervision, audit, and control programs across Empower Personal Wealth

Ensure operational and financial controls meet compliance standards and mitigate risk

Serve as the company’s audit, control, and risk subject matter expert, advising leadership and regulatory agencies

Lead annual SOC1 certification, control reviews, and incident management processes

Acts as company Control/Risk/Audit SME and leads cross enterprise initiatives i.e. system user access reviews, organizational control changes and internal and external audit initiatives, providing expertise on risk management, audit and controls

Partner with internal and external auditors to define scope, address findings, and implement improvements

Drive efficiency and process enhancements through technology, data, and best practices

Communicate and enforce all EPW policies, and assist with investigations and disciplinary determinations of all violations of policy

Collaborate with Compliance Department and key stakeholders to monitor regulatory changes; product needs market demands to effectively evolve compliance and supervision programs

Qualification

FINRA Series 7 & 24Securities compliance experienceRisk management expertiseSOC1 certificationData analysisLeadership skillsCritical thinkingProblem-solvingCommunication skills

Required

FINRA Series 7 & 24 required

10+ years of relevant securities experience, preferably in compliance or supervision

Deep understanding and broad experience in the field; regulatory requirements including the business impacts

An understanding of DC plans, IRA, taxable accounts, insurance products, brokerage offerings, advisory services and all other securities products

Sound judgment to balance a variety of factors (cost, risk, short-term versus long-term impact) to achieve an optimal outcome in compliance with applicable laws, regulations and rules

Experience and demonstrated knowledge of multiple related subject areas including but not limited to SOC1, ICOFR, etc

Experience and proven ability to lead and influence others

Bachelor's degree required

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.