Senior Director, Front Office Advice & Guidance

Empower•Overland Park, KS

2d•$138,000 - $200,100•Hybrid

About The Position

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 the Senior Director of Front Office Advice and Guidance, you will serve as a trusted compliance advisor to Empower’s front-office and supervisory leaders. You’ll guide the advice, sales, and service functions within Empower Personal Wealth (EPW) and Empower Workplace Solutions (EWS) to ensure activities meet all regulatory and internal standards. Leading a team of compliance professionals, you’ll provide oversight across both broker-dealer and investment advisory operations—helping Empower deliver advice with integrity, transparency, and consistency.

Requirements

Bachelor’s degree or equivalent experience (advanced degree preferred)
10+ years of compliance experience within broker-dealer and investment advisory environments
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
Proven experience leading compliance programs or advisory functions at a senior level
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.
Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends
Strong knowledge of advice delivery, supervision, and client interaction frameworks
Excellent communication and relationship-building skills across business and control teams
Strategic thinking and sound judgment in applying regulatory standards to business initiatives
Must demonstrate a “challenger” mindset and strong relationship skills to build durable, collaborative partnerships with business leaders
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.
For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.

Nice To Haves

Recognized as a trusted compliance advisor to senior leadership
Experience building or transforming compliance programs in dynamic business settings
Deep familiarity with compliance governance and control effectiveness assessments
Track record of identifying and remediating control weaknesses through partnership
Proven success balancing business objectives with regulatory expectations
Exceptional written and verbal communication skills for executive audiences

Responsibilities

Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS
Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters
Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940
Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions
Define and manage compliance initiatives supporting advice, distribution, and supervision functions
Coordinate across business and control partners to implement new or evolving regulatory requirements
Track open compliance issues to ensure timely resolution and escalation as needed
Communicate emerging risks, trends, and program updates to senior management and key stakeholders
Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities
Represent Compliance on committees and working groups related to client advice, supervision, and service

Benefits

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.
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)
Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
Base Salary Range $138,000.00 - $200,100.00
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 • Drug-free workplace
For remote and hybrid positions you will be required to provide reliable high-speed internet with a wired connection as well as a place in your home to work with limited disruption. You must have reliable connectivity from an internet service provider that is fiber, cable or DSL internet. Other necessary computer equipment, will be provided. You may be required to work in the office if you do not have an adequate home work environment and the required internet connection.