Senior Product Compliance Manager

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 Sr. Compliance Product Manager, you will provide strategic compliance leadership and guidance across Empower's product lifecycle governance. You'll partner with leaders in Product, Legal, and Risk to ensure investment and advisory offerings are designed, launched, and maintained in alignment with SEC, FINRA, and DOL regulations. Your work ensures Empower's products are built on transparency, integrity, and trust-helping protect clients and strengthen Empower's reputation in the marketplace.

What you will do :

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

What you will bring :

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

What will set you apart :

Experience supporting full product lifecycle governance at a large broker-dealer or investment adviser

Must bring a true "challenger" mindset paired with strong relationship-building skills that support long-term, collaborative partnerships with business leaders

Track record influencing senior leaders and shaping compliance strategy

Familiarity with technology and data tools that enhance compliance oversight

Demonstrated ability to balance business objectives with regulatory requirements

Recognized as a trusted, proactive compliance advisor and partner

• Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT / OPT.

What we offer you

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

Base Salary Range

$123,000.00 - $178,350.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and / or skill level and will be finalized at the time of offer.

Equal opportunity employer

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 (40 and over), 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.

Job Posting End Date at 12 : 01 am on :

12-16-2025

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