PanAgora Asset Management · 1 month ago
Lead Analyst, Personal Trading & Compliance
United States
Full-time
Remote
Senior Level, Lead/Staff
$96K/yr - $136K/yr
7+ years expEmpower Retirement is committed to transforming financial lives by providing a flexible work environment and celebrating internal mobility. As the Lead Specialist of Personal Trading and Compliance, you will oversee personal trading and Code of Ethics compliance, ensuring adherence to regulatory standards and enhancing the firm's integrity culture.
FinanceFinancial Services
No H1B
Responsibilities
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
Qualification
Required
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
Preferred
Experience with compliance technology or automation tools
Familiarity with AI and analytics to support compliance monitoring
Prior involvement in regulatory exams or internal audits
Proven record of improving compliance processes and workflows
Demonstrated ability to train and influence employees at all levels
No history of regulatory findings or sanctions
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.
Company
PanAgora Asset Management
PanAgora Asset Management is a quantitative investment manager whose proprietary approach is designed to capitalize on inefficiencies across market cycles and to deliver relative and absolute returns through distinct and innovative equity, multi-asset and risk premia strategies.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Eric Hevering Sorensen
CEO
Recent News
2025-10-31
2025-08-14
2025-07-04
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