Apply on Employer Site

Empower · 13 hours ago

Director Personal Trading & Compliance

United States

Full-time

Remote

Senior Level, Lead/Staff

$125K/yr - $182K/yr

8+ years exp

Empower is dedicated to transforming financial lives by fostering a flexible work environment and celebrating internal mobility. As the Director of Personal Trading and Compliance, you will lead the Code of Ethics and oversee personal trading activities while managing a high-performing compliance team to ensure adherence to regulatory standards.

Employee BenefitsNon ProfitSocial

No H1B

Responsibilities

Oversee daily monitoring of personal trading for all Access Persons and Covered Associates, including pre-clearance, account disclosures, and review of trade activity

Administer the Code of Ethics and ensure full compliance with SEC, FINRA, and internal policies

Lead, coach, and develop a team of Compliance professionals with clear goals, mentorship, and feedback

Partner with business, Legal, and Risk leaders to embed compliance expectations into processes and decision-making

Track and report key program metrics, escalating issues and recommending remediation when needed

Develop and maintain policies, procedures, and training related to personal trading and Code of Ethics

Monitor regulatory developments and guide updates to Empower’s compliance framework

Support sub-adviser and vendor due diligence, including data collection, certifications, and on-site reviews

Collaborate with technology teams to enhance compliance systems, analytics, and automation using sound governance controls

Present program updates and insights to senior leadership, Compliance committees, and boards

Qualification

Compliance experiencePersonal trading oversightCode of Ethics administrationRegulatory knowledgeAnalytical skillsRisk managementLeadership skillsCommunication skillsTeam developmentOperational mindsetEngagement with regulatorsRelationship-buildingIntegrityStrategic mindset

Required

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

8+ years of compliance experience under the Investment Advisers Act, Investment Company Act, Exchange Act, and FINRA rules

Strong background managing personal trading and Code of Ethics programs for large adviser and broker-dealer populations

Demonstrated leadership managing compliance or risk teams

Proven ability to assess control environments and drive effective remediation

Deep understanding of industry regulations and operational best practices

Excellent communication, analytical, and relationship-building skills

Strong judgment, discretion, and integrity in handling sensitive information

Experience navigating dynamic, fast-growing financial environments

Preferred

FINRA Series 6, 7, 24, or 65 licenses (or ability to obtain within set timelines)

Experience leading compliance technology or automation initiatives

Familiarity with AI tools and data-driven compliance solutions

Prior experience presenting to boards or senior committees

Strong strategic and operational mindset with the ability to simplify complex issues

Record of proactive engagement with regulators and internal partners

Track record of building high-performing, collaborative compliance teams

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.