VP EPW Supervision, Audit & Control

Empower; United States; Hybrid; USD 171,900 - 249,225; Full time

Benefits offered by this job

Medical, dental, vision and life insurance

401(k) plan with matching contributions

Tuition reimbursement up to $5,250/year

Generous paid time off

Paid volunteer time

Business Resource Groups for inclusion

Job summary

A financial services firm in the United States is seeking a leader for their Supervision Innovation role. This position requires a strong background in compliance, oversight of audit and control programs, and experience in risk management. The ideal candidate will have extensive experience in the securities industry and a passion for transforming supervision through data and innovative practices. The role offers a competitive salary and a range of employee benefits including health and wellness programs.

Qualifications

• 10+ years of relevant securities experience, preferably in compliance or supervision.
• FINRA Series 7 & 24 required.
• Deep understanding of DC plans, IRA, taxable accounts, and securities products.

Responsibilities

• Oversee all supervision, audit, and control programs.
• Ensure operational controls meet compliance standards.
• Lead annual SOC1 certification and incident management processes.

Skills

Compliance knowledge

Leadership skills

Critical thinking

Risk management

Data analysis

Education

Bachelor’s degree

Job description

6 days ago Be among the first 25 applicants

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.

Passionate About People, Data, and Compliance? Lead Our Next Era of Supervision Innovation

This role will lead Empower Personal Wealth’s Supervision, Audit, Quality Assurance, Control, and Incident Management functions. This role ensures compliance with all regulatory requirements (SEC, FINRA, IRS, DOL) while strengthening Empower’s risk and control environment. This is a critical role, where you will set strategic direction, oversee key programs, and partner with senior leadership to maintain the highest operational and ethical standards. The ideal candidate has a strong background in the industry and in a Supervision role, with an eye towards transforming Supervision through Data, AI, and Purposeful Leadership.

What You Will Do

• Oversee all supervision, audit, and control programs across Empower Personal Wealth
• Ensure operational and financial controls meet compliance standards and mitigate risk
• Serve as the company’s audit, control, and risk subject matter expert, advising leadership and regulatory agencies
• Lead annual SOC1 certification, control reviews, and incident management processes
• Acts as company Control/Risk/Audit SME and leads cross enterprise initiatives i.e. system user access reviews, organizational control changes and internal and external audit initiatives, providing expertise on risk management, audit and controls
• Partner with internal and external auditors to define scope, address findings, and implement improvements
• Drive efficiency and process enhancements through technology, data, and best practices
• Communicate and enforce all EPW policies, and assist with investigations and disciplinary determinations of all violations of policy
• Collaborate with Compliance Department and key stakeholders to monitor regulatory changes; product needs market demands to effectively evolve compliance and supervision programs

What You Will Bring

• FINRA Series 7 & 24 required
• 10+ years of relevant securities experience, preferably in compliance or supervision
• Deep understanding and broad experience in the field; regulatory requirements including the business impacts
• An understanding of DC plans, IRA, taxable accounts, insurance products, brokerage offerings, advisory services and all other securities products
• Sound judgment to balance a variety of factors (cost, risk, short-term versus long-term impact) to achieve an optimal outcome in compliance with applicable laws, regulations and rules
• Experience and demonstrated knowledge of multiple related subject areas including but not limited to SOC1, ICOFR, etc.
• Experience and proven ability to lead and influence others
• Bachelor’s degree required

What Will Set You Apart

• Ability to resolve complex problems and lead development of creative and advanced solutions
• Demonstrates initiative, critical thinking and judgment on addressing and resolving highly complex processes, recommending and implementing alternative courses of action if neededIntellectual curiosity required to ask the right questions and drive out inconsistencies

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%), 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

$171,900.00 - $249,225.00

Equal opportunity employer

• Drug-free workplace

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 (40 and over), 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.

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.