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Empower · 2 weeks ago

Senior Product Compliance Manager

United States

Full-time

Remote

Senior Level, Lead/Staff

$125K/yr - $182K/yr

10+ years exp

Empower is committed to transforming financial lives and fostering an inclusive work environment. The Senior Product Compliance Manager will provide strategic compliance leadership throughout the product lifecycle, ensuring offerings align with regulatory requirements and maintain Empower's reputation for transparency and trust.

Employee BenefitsNon ProfitSocial

No H1B

Responsibilities

Provide compliance guidance from product concept through post-launch oversight

Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products

Identify and coordinate updates to ADV filings, disclosures, and policies tied to product changes

Review and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules

Collaborate with business partners to balance innovation with regulatory expectations

Participate in governance forums, committees, and working groups on product development and communications

Track regulatory developments and advise leadership on potential product impacts

Maintain and enhance internal procedures supporting Empower’s product compliance framework

Prepare summaries and reports for senior leadership on compliance activities and emerging risks

Partner with cross-functional stakeholders to ensure product-related risks are identified, documented, and mitigated

Qualification

Financial services complianceProduct lifecycle governanceFINRA Series 7Investment Advisers Act knowledgeRegulatory trend analysisMarketing materials reviewCommunication skillsCollaboration skillsRelationship-building skills

Required

Bachelor's degree or equivalent experience (advanced degree preferred)

10+ years of financial services compliance experience with a focus on product development and oversight

Must have the ability to learn and develop a deep understanding of the business; build strong relationships through regular communication and active participation in committees and projects; and objectively assess inherent regulatory risks. This includes developing a comprehensive understanding of the control environment, accurately identifying weaknesses, measuring control effectiveness, and partnering with the business to advocate for and drive effective remediation

FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required, or ability to obtain within corporate timelines. FINRA fingerprinting required

Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations

Deep understanding of complex products such as SMAs, alternatives, and capital markets offerings

Proven experience reviewing marketing materials for regulatory accuracy and fairness

Ability to analyze regulatory trends and provide practical, risk-based solutions

Excellent communication, collaboration, and relationship-building skills

Preferred

Experience supporting full product lifecycle governance at a large broker-dealer or investment adviser

Must bring a true “challenger” mindset paired with strong relationship-building skills that support long-term, collaborative partnerships with business leaders

Track record influencing senior leaders and shaping compliance strategy

Familiarity with technology and data tools that enhance compliance oversight

Demonstrated ability to balance business objectives with regulatory requirements

Recognized as a trusted, proactive compliance advisor and partner

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.