Senior Director Compliance Monitoring & Surveillance

Empower • Overland Park, KS

1d • $144,900 - $210,075 • Hybrid

About The Position

The Senior Director, Compliance Monitoring and Surveillance leads a team of compliance professionals responsible for identifying and addressing compliance control gaps, potential operational deficiencies in compliance controls, and potential compliance violations. This leader establishes the strategy and directs ongoing compliance monitoring and surveillance activities across Empower’s front-office functions, including Empower Personal Wealth and Workplace Solutions.

The Sr. Director also leads strategic initiatives supporting Empower’s compliance program and culture through initiation, development, implementation, and ongoing enhancement.

Requirements

• Bachelor’s degree or equivalent work experience required
• 10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry
• 8+ years of leadership experience overseeing compliance monitoring and surveillance programs within a regulated financial services environment, including demonstrated experience leading and developing compliance professionals
• FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe
• FINRA Fingerprinting required
• Demonstrated experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs, including sales practice monitoring, electronic communications surveillance, and front-office compliance oversight
• Experience leveraging 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
• Demonstrated ability to identify, assess, and objectively measure regulatory and operational risks, evaluate the effectiveness of compliance controls, and recommend practical, risk-based solutions
• Demonstrated ability to develop, analyze, and interpret data, metrics, and reporting to identify trends, emerging risks, and opportunities for program enhancement
• Proven 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 communicate complex compliance matters and influence senior leaders and diverse stakeholders
• Demonstrated 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

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 demonstrated 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 the effective and efficient 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 that support the detection and analysis of high-risk sales practice behaviors and generate actionable opportunities to reduce compliance risk.
• Develop, implement, and continuously enhance risk-based compliance monitoring and surveillance controls to support compliance with applicable SEC, FINRA, DOL, and state regulatory requirements.
• Develop and deliver reporting to Compliance leadership summarizing key findings, emerging risks, trends, metrics, and opportunities for program enhancement.
• Establish and monitor key risk indicators (KRIs), key performance indicators (KPIs), surveillance thresholds, and other metrics used to evaluate the effectiveness of the Compliance Monitoring and Surveillance program.
• Advise senior leadership, Supervising Principals, and business partners regarding compliance policies and considerations associated with new or changing regulations, products, services, and business initiatives using a risk-based approach.
• Lead a team of Compliance professionals responsible for monitoring and surveillance, including talent selection, workload management, performance management, mentoring, and professional development.
• Provide leadership and guidance that promote quality execution, accountability, professional growth, and alignment with Empower’s compliance and ethical standards.
• Track identified compliance issues and oversee appropriate remediation, escalation, follow-up, and closure within established timelines and regulatory expectations.
• Communicate significant compliance risks, findings, and trends to senior Compliance leadership and other appropriate stakeholders.
• Develop and refine policies, procedures, controls, and oversight mechanisms designed to mitigate compliance risk and support compliant business activities.

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)

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree