Senior Compliance Director

Job Summary

A company is looking for a Senior Director of Front Office Advice and Guidance.

Key Responsibilities

• Implement the compliance framework for Empower Personal Wealth and Empower Workplace Solutions
• Serve as the primary compliance contact for advice delivery and supervision matters
• Develop and maintain compliance policies and governance frameworks for front-office activities

Required Qualifications

• 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
• Proven experience leading compliance programs at a senior level
• Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends