Senior Director Personal Trading & Compliance

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. As a Senior Director Compliance , you will lead Empower 's Personal Trading and Code of Ethics program across Empower Capital Management, Empower Advisory Group, Empower Funds, and Empower Financial Services. You'll serve as a senior leader within Compliance, helping shape a scalable, risk-based compliance program that supports our investment advisers, registered funds, separate accounts, and broker-dealer businesses. Working closely with business leaders, Legal, Risk, and executive leadership, you'll strengthen our compliance framework while helping the business navigate an evolving regulatory environment. What you will do Lead the firm's Personal Trading and Code of Ethics program, including pre-clearance, employee trading reviews, restricted list oversight, certifications, and disclosures Serve as deputy to the VP, Compliance and Chief Compliance Officer for designated governance, regulatory, and business initiatives Direct enterprise compliance risk assessments, annual compliance reviews, monitoring, testing, issue management, and governance reporting Design and enhance a risk assessment framework that supports targeted monitoring, testing, and remediation activities Manage, coach, and develop a team of compliance professionals while fostering a culture of accountability, collaboration, and continuous improvement Partner