Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them.

Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself.

The Analyst Compliance Inspection supports Empower’s compliance inspection program by preparing for and coordinating inspections to ensure adherence to regulatory requirements and internal policies. This position involves detailed pre-work, data and trend analysis, and reporting to identify potential issues, escalate concerns appropriately, and partner with internal stakeholders to resolve findings.

Essential Functions:

• Conduct pre-work for inspections, including confirming information received from questionnaires correspond to Empower records (e.g., licensing, location, disclosed OBAs), conducting internet searches, reviewing signatures for compliance, and coordinating with internal partners (e.g., communications compliance, supervision).

• Prepare draft inspection reports, flagging any issues for follow-up during the inspection.

• Ensure timely escalation and referral of any identified issues that require further follow-up.

• Partner with internal contacts as needed to provide oversight of the company’s inspection.

• Leverage technology and artificial intelligence tools to operate efficiently.

• Conduct remote inspections, as needed, for compliance with regulatory requirements and Empower policies.

Qualifications:

• College degree

• 1-2 years of directly related work experience required.

• Excellent verbal and written communication skills. Strong leadership/negotiation skills, ability to take ownership of self-professional development, and self-driven toward career goals.

• Multi-dimensional and adaptable team player, able to tackle a diversity of duties while performing non-analyst or silo style roles and solidly demonstrating initiative.

• Self-starter and problem-solver with the ability to deliver results with minimal hands-on guidance.

• Some compliance inspection, audit or investigation experience preferred.

• FINRA registrations preferred but not required.

• Exceptional interpersonal skills with ability to interface with a variety of colleagues, including associates and senior management alike, are required.

• Exceptional research and analytical skills are required.

This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job.  The employer has the right to revise this job description at any time.   You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description.   You may be required perform other duties that are not included on this job description.  The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

We are an equal opportunity employer with a commitment to diversity.  All individuals, regardless of personal characteristics, are encouraged to apply.  All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.