Lead Specialist Regulatory Compliance

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 The purpose of the Philippine based Lead Specialist Regulatory Compliance is to lead the company’s regulatory compliance efforts in a particular area of expertise, such as FINRA, SEC, and state securities and insurance rules and regulations What you will do:

• Responsible for analyzing complex compliance issues and projects to attain company’s business goals within regulatory framework.
• Partner with Legal, Risk, and internal business partners to collaborate current projects, resourcing and/or development needs.
• Research and analyze regulatory rules and regulations in the Lead Specialist’s area of expertise, including but not limited to FINRA, SEC, and state insurance and securities rules and regulations, to provide advice and guidance on complex business issues.
• Maintain subject matter expertise in Lead Specialist’s area of expertise to provide advice and guidance to internal business clients.
• Conduct oversight and review of the company’s regulatory activity by Philippines based associates, including oversight of the call center operations and other regulated operations.
• Provide backup responsibilities to peers in various areas of compliance expertise, including as needed support of US operations, processes, and staff.
• In conjunction with senior management, maintain and amend official firm policies based on analysis of changes in regulations and business activities.
• Prepare quarterly and annual compliance reports within the Lead Specialist’s area of expertise, as required.
• Serve as the primary research and coordinator for regulatory exams within the Lead Specialist’s area of expertise.
• Perform reviews of regulated activities and investigations as required.
• Interpret internal or external business issues, identify opportunities for improvement and recommend solutions/best practices to ensure the Company s regulatory compliance.
• Create, or assist in creation of training programs while maintaining oversight of employee completion.
• Create and oversee Compliance desktop procedures within the Lead Specialist’s area of expertise.
• Periodically review and provide advice and guidance on Philippines regulatory policies and procedures.
• Perform branch and non-branch office location inspections in the Philippines, as necessary.
• Provide advice and guidance to local Supervision associates.
• Significant autonomy to make decisions on regulatory compliance related matters, involving management in complex compliance issues.
• May be responsible for training and oversight of Supervision associates or Sr. Compliance Specialist or Compliance Specialist roles.

What you will bring:

• Bachelor s degree or equivalent work experience.
• Series 6 and Series 26 registrations required (or required to be obtained within corporate-established timelines); Series 7 & Series 24 preferred
• FINRA fingerprinting required.
• Continuous Improvement & Efficiency: Takes initiative to generate, suggest, and advocate products, processes or ideas that help reduce risk or improve customer handling methods, services, speed, or quality.
• Building Partnerships: Finds common ground and builds trust with co-workers, managers, partners, and customers.
• Communicating & Speaking Out: Listens to other perspectives; conscientiously communicates verbally and in writing with attention to clarity, brevity, perceptual tone, and professionalism; refrains from using 'us and them
• Approximately 5+ years of progressive experience in their specialty area.
• Exceptional interpersonal skills with ability to interface with a variety of colleagues, including associates and senior management alike, are required.
• Exceptional research and analytical skills are required.
• Ability to manage multiple, competing priorities with strict deadlines.

Normal Office Working Conditions: this job operates in a professional office environment and routinely uses standard office equipment This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job. The employer has the right to revise this job description at any time. You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description. You may be required perform other duties that are not included on this job description. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.