Senior Product Compliance Manager

ComplianceComplianceFull TimeRemoteTeam 10,001+H1B SponsorCompany Site LinkedIn

Location

United States

Posted

16 days ago

Salary

$125.4K - $181.9K / year

Bachelor Degree10 yrs expEnglish

Job Description

• 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

Job Requirements

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.

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.