Senior Director Compliance Monitoring & Surveillance

Empower • Overland Park, KS

12d • $144,900 - $210,075

About The Position

The Senior Director, Compliance Monitoring and Surveillance leads a team responsible for identifying and addressing compliance control gaps, operational deficiencies in compliance controls, and potential violations. The role establishes strategy and directs ongoing compliance monitoring and surveillance across Empower’s front-office functions, including Empower Personal Wealth and Workplace Solutions. The Senior Director also leads strategic initiatives that support Empower’s compliance program and culture through their initiation, development, implementation, and ongoing enhancement.

The role partners with Compliance leadership to set program strategies, priorities, goals, and procedures; leads risk-based monitoring and surveillance; and uses technology and data-driven solutions to identify high-risk sales practice behaviors and reduce compliance risk. It develops reporting, risk indicators, performance indicators, thresholds, policies, procedures, controls, and oversight mechanisms. The Senior Director advises senior leaders and business partners, communicates significant findings and trends, and oversees issue remediation and closure. The position also leads, mentors, and develops compliance professionals.

Applicants must be authorized to work for any employer in the U.S. Empower is unable to sponsor or take over sponsorship of an employment visa, including CPT/OPT. For remote and hybrid positions, employees must have reliable high-speed wired internet through fiber, cable, or DSL and a home workspace with limited disruption. Necessary computer equipment will be provided; office work may be required if the home environment or internet connection is inadequate.

Requirements

• Bachelor’s degree or equivalent work experience.
• At least 10 years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry.
• At least 8 years of leadership experience overseeing compliance monitoring and surveillance programs in a regulated financial services environment, including experience leading and developing compliance professionals.
• FINRA Series 7 and 65, or Series 7 and 66; or ability to obtain within the corporate-required timeframe.
• FINRA fingerprinting required.
• Experience developing, implementing, and enhancing risk-based compliance monitoring and surveillance programs, including sales practice monitoring, electronic communications surveillance, and front-office compliance oversight.
• Experience using surveillance technology, data analytics, reporting, and automation to strengthen compliance monitoring and risk detection.
• Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements relevant to front-office financial services activities.
• Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight.
• Ability to identify, assess, and objectively measure regulatory and operational risks; evaluate compliance control effectiveness; and recommend practical, risk-based solutions.
• Ability to develop, analyze, and interpret data, metrics, and reporting to identify trends, emerging risks, and opportunities for program enhancement.
• Ability to build, develop, and lead high-performing teams while fostering accountability, collaboration, and continuous improvement.
• Exceptional written and verbal communication skills, including the ability to explain complex compliance matters and influence senior leaders and diverse stakeholders.
• Ability to partner with senior leadership and business leaders on compliance risks, strategic initiatives, governance activities, and business objectives.
• Strategic thinking, sound judgment, and effective decision-making in a dynamic regulatory environment.
• Ability to work independently and effectively in a collaborative, cross-functional environment.
• Experience with specific surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower.
• Authorization to work for any employer in the U.S.; visa sponsorship or takeover of sponsorship is not available.

Nice To Haves

• Relevant advanced degree.
• Experience leading enterprise-scale compliance monitoring and surveillance transformation or technology modernization initiatives.
• Experience applying advanced analytics, automation, or data-driven methodologies to surveillance and compliance risk detection.
• Challenger mindset and strong relationship-building skills, with the ability to constructively challenge existing practices and influence organizational change.

Responsibilities

• Partner with Empower Compliance leadership to establish strategies, priorities, goals, and procedures for the Compliance Monitoring and Surveillance program across Empower Personal Wealth and Workplace Solutions.
• Lead detection of compliance control gaps, deficiencies, and potential violations involving sales practices, marketing, client interactions, electronic communications, and other front-office activities.
• Identify, design, and implement technology- and data-driven surveillance solutions to detect and analyze high-risk sales practice behaviors and reduce compliance risk.
• Develop, implement, and continuously enhance risk-based compliance monitoring and surveillance controls supporting applicable SEC, FINRA, DOL, and state regulatory requirements.
• Develop and deliver reporting to Compliance leadership on key findings, emerging risks, trends, metrics, and opportunities for program enhancement.
• Establish and monitor key risk indicators, key performance indicators, surveillance thresholds, and other measures of program effectiveness.
• Advise senior leadership, Supervising Principals, and business partners on compliance policies and considerations related to regulatory, product, service, and business changes using a risk-based approach.
• Lead a team of compliance professionals, including talent selection, workload management, performance management, mentoring, and professional development.
• Promote quality execution, accountability, professional growth, and alignment with compliance and ethical standards.
• Track compliance issues and oversee remediation, escalation, follow-up, and closure within established timelines and regulatory expectations.
• Communicate significant compliance risks, findings, and trends to senior Compliance leadership and appropriate stakeholders.
• Develop and refine policies, procedures, controls, and oversight mechanisms to mitigate compliance risk and support compliant business activities.

Benefits

• Medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%, financial advisory services, potential company discretionary contribution, and a broad investment lineup.
• Tuition reimbursement up to $5,250 per year.
• Business-casual environment with the option to wear jeans.
• Paid time off upon hire, ten paid company holidays, and three floating holidays each calendar year.
• 16 hours of paid volunteer time 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 open to all.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior