Senior Communications Compliance Analyst II

8+ years of experience in financial services compliance.

Knowledge of registered securities products and applicable communications compliance requirements.

Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications.

Strong knowledge of FINRA, SEC, federal, and state securities regulations and applicable insurance regulations.

FINRA Series 6 and 26 registrations or Series 7 and 24 registrations

FINRA Fingerprinting required.

Strong analytical skills and attention to detail.

Ability to interpret regulatory requirements and apply them to complex communications.

Ability to complete communications reviews accurately and within established service or turnaround standards.

Demonstrated ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment.

Strong written and verbal communication skills.

Ability to build effective working relationships with business partners, management, and staff across the organization.

Ability to work independently with limited supervision.

Bachelors degree or equivalent

Prior experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization.

Experience responding to FINRA Advertising Regulation inquiries or supporting SEC, FINRA, state, or other regulatory examinations.

Experience developing, maintaining, or testing communications compliance policies and procedures.

Experience serving as a communications compliance subject matter expert and training or mentoring other compliance professionals.

Experience managing complex or escalated communications compliance matters.

Working knowledge of Empower's business model, products, and services

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.