Director of Trading Compliance

Job Summary

Leading a high-performing team, the full-time remote Director of Personal Trading and Compliance will oversee the Code of Ethics and personal trading oversight for Empower Capital Management, ensuring compliance with regulatory standards and fostering a culture of ethical conduct.

Key responsibilities

• Oversee daily monitoring of personal trading activities, including pre-clearance and trade reviews
• Administer the Code of Ethics and ensure compliance with SEC, FINRA, and internal policies
• Develop and maintain policies, procedures, and training related to personal trading and compliance

Required qualifications

• Bachelor's degree or equivalent experience (law degree preferred)
• 8+ years of compliance experience under relevant financial regulations
• Strong background managing personal trading and Code of Ethics programs
• Demonstrated leadership experience in compliance or risk management
• Proven ability to assess control environments and drive effective remediation