VP, Supervision & Audit — Data-Driven Compliance Leader

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

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.