Senior Product Compliance Manager

Empower; United States; Hybrid; USD 123,000 - 178,350; Full time

Benefits offered by this job

Medical, dental, vision and life insurance

401(k) plan with company matching

Tuition reimbursement up to $5,250

Generous paid time off

Paid volunteer time

Job summary

A financial services company seeks a Sr. Compliance Product Manager to provide strategic compliance guidance across the product lifecycle. This role involves collaboration with Product, Legal, and Risk teams to ensure regulatory alignment and product integrity. Ideal candidates should have 10+ years of compliance experience, a relevant bachelor's degree, and familiarity with financial regulations. The position offers generous benefits including a competitive salary range of $123,000 to $178,350 annually, alongside a bonus program.

Qualifications

• 10+ years of financial services compliance experience with a focus on product development and oversight.
• Ability to learn and develop a deep understanding of the business and regulatory risks.
• Strong knowledge of the Investment Advisers Act of 1940, FINRA rules, and securities regulations.
• FINRA Series 7 and 65 (or 7 and 66) plus 9/10 or 24 required.

Responsibilities

• Provide compliance guidance from product concept through post-launch oversight.
• Evaluate regulatory requirements for new or modified products.
• Track regulatory developments and advise leadership on impacts.
• Prepare summaries and reports for senior leadership on compliance activities.

Skills

Financial services compliance experience

Regulatory trends analysis

Communication skills

Relationship-building

Education

Bachelor’s degree or equivalent experience

Advanced degree preferred

Job description

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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, fluid career paths, and we encourage and celebrate internal mobility. We recognize the importance of purpose, well‑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.

What You Will Do

• 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

What You Will Bring

• Bachelor’s degree or equivalent experience (advanced degree preferred)
• 10+ years of financial services compliance experience with a focus on product development and oversight
• 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

What Will Set You Apart

• 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

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.

What We Offer You

• Medical, dental, vision and life insurance
• Retirement savings – 401(k) plan with generous company matching contributions (up to 6%) and financial advisory services
• Tuition reimbursement up to $5,250 per 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) – open to all employees

Base Salary Range

$123,000.00 – $178,350.00 per year. Non‑sales positions have the opportunity to participate in a bonus program; sales positions are eligible for sales incentives. Actual compensation offered may vary based on location, experience, education, licensure, and skill level.

Equal Opportunity Employer

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.

Drug‑free workplace.

For remote and hybrid positions you must 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. 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.