VP Supervision Audit Control

A company is looking for a VP of EPW Supervision, Audit & Control.

Key Responsibilities

Oversee all supervision, audit, and control programs across Empower Personal Wealth

Ensure operational and financial controls meet compliance standards and mitigate risk

Serve as the company's audit, control, and risk subject matter expert, advising leadership and regulatory agencies

Required Qualifications

FINRA Series 7 & 24 required

10+ years of relevant securities experience, preferably in compliance or supervision

Bachelor's degree required

Deep understanding of regulatory requirements and their business impacts

Experience leading and influencing others