Senior Product Compliance Manager

Empower•Overland Park, KS

3d•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 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.

Requirements

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
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.

Nice To Haves

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

Responsibilities

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

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 $125,400.00 - $181,875.00
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.