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Empower · 17 hours ago

Investment Advisory Compliance Program Office Manager

United States

Full-time

Remote

Senior Level

$106K/yr - $149K/yr

5+ years exp

Empower is committed to transforming financial lives and fostering a flexible work environment. The Investment Advisory Compliance Program Office Manager will support compliance oversight for various Empower entities, ensuring adherence to regulatory standards and enhancing the compliance program.

Employee BenefitsNon ProfitSocial

No H1B

Responsibilities

Maintain and refresh compliance policies and procedures under the Advisers Act, Investment Company Act, and applicable FINRA/MSRB rules

Review and test controls to assess effectiveness and partner with business teams to close gaps

Prepare reports and filings for leaders, committees, and regulators

Monitor regulatory changes and summarize impacts for advisory and fund businesses

Coordinate exam and audit responses with senior compliance officers, including materials and follow-up

Support compliance training by updating content, tracking completion, and answering questions

Conduct due diligence on sub-advisers and third-party providers

Work with Compliance Operations and technology partners to enhance reporting, testing, and automation

Maintain documentation and records supporting regulatory obligations

Represent Compliance on projects and working groups to embed requirements into new initiatives

Qualification

Investment advisory complianceSEC regulations knowledgeFINRA regulations knowledgeMSRB regulations knowledgeCompliance program supportRegulatory exam experienceAnalytical skillsProcess improvementAutomation tools familiarityDue diligenceCompliance systems familiarityRegulatory reportingCommunication skillsOrganizational skillsCollaboration skills

Required

Bachelor's degree or equivalent experience

5+ years in investment advisory or asset management compliance

Working knowledge of SEC, FINRA, and MSRB regulations

Experience supporting compliance programs in a regulated financial institution

Ability to interpret and apply complex regulations

Strong analytical, organizational, and communication skills

Comfort collaborating across teams and managing documentation

Familiarity with compliance systems, reporting tools, or data management

FINRA fingerprinting required

Preferred

Advanced degree (J.D., MBA, or similar)

FINRA Series 65 (or willingness to obtain within the required timeline)

Experience with regulatory exams, audits, or control testing

Background supporting advisory or fund compliance programs

Strength in process improvement or automation tools

Proven ability to explain regulatory expectations in clear, practical terms

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.