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 purpose of the Senior Regulatory Compliance Analyst is to help the organization fulfill various regulatory requirements, develop and implement effective compliance policies/procedures, and to coordinate oversight programs intended to reasonably ensure compliance with federal and state securities and insurance regulations that govern the organization s business activities and associated persons. Works collaboratively to support the organization and its customers by helping to ensure compliance with established internal and external regulatory framework.

Essential Functions:

• Facilitate implementation of various SEC, FINRA and/or State regulatory requirement(s) and development of effective and efficient compliance supervisory oversight programs.
• Respond to a broad range of questions from internal business personnel regarding compliance matters.
• Provide guidance regarding compliance considerations relevant to new or changing regulations and/or business initiatives.
• Participate in preparing responses to regulatory examinations, inquiries, or internal audits.
• Compile statistical data and narrative trend analysis reports as required by regulators and/or for internal management.
• Monitor and analyze complex proposed and new federal and state regulations in order to identify potential impact to the organization and needed changes to policies, procedures and/or operations.
• Update organizational compliance policies, as well as internal department policies and procedures for review/approval by management.
• Draft policy update communications to effected personnel, as assigned.
• Coordinate development, delivery and tracking of required compliance training, as assigned.
• Participate as a presenter for in person and Webinar training sessions on compliance policies/procedures, as needed.
• Monitor electronic communications and escalate potential non-compliance incidents for further investigation and action as needed.
• Other duties as assigned.

Qualifications:

• Bachelor s degree or equivalent work experience.
• Exceptional interpersonal skills with ability to interface with regulators, third party service providers, and a variety of colleagues, including business unit management and personnel from all business segments, as well as Corporate Support departments.
• Requires 5+ years financial services experience, with minimum 2 years in directly related securities compliance role.
• FINRA fingerprinting required.
• Working Conditions Typical office environment.
• Ability to manage multiple, competing priorities with strict deadlines.
• Other physical duties as required.
• Broad autonomy to make independent, risk-based decisions and execute action plans for the majority of situations within scope of expertise.
• Guidance and/or advance consent from Lead Regulatory Compliance Specialist, Manager and/or Chief Compliance Officer is generally required for recommendations of material policy revisions, highly complex or sensitive situations, and/or where there is a high regulatory risk or widespread business impact.
• Expected to independently manage tasks and project assignments to ensure regulatory and internally set deadlines are met or exceeded.
• Internal & External Contacts: Personnel from SEC, FINRA and State regulators; Securities registration candidates, hiring managers and Human Resources Talent Acquisition contacts; Sales/Service, Products, and back-office operations management and personnel from all business segments; Designated complaint coordinators from each business segment; Third party service vendor contacts; Corporate Support personnel (ITS, Accounting/Finance, Human Resources, Legal)

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.