Senior Compliance Audit Specialist

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.

As a Senior Compliance Audit Specialist, you will support the Regulatory Compliance Audit functions within the Empower Compliance department. This role involves leading junior staff in various compliance-related tasks, assisting Compliance Audit Management in the assessment of management’s compliance controls designed to ensure compliance with policies and regulations. Specific tasks will include assisting with the identification of audit scope and overseeing the agreed upon testing plan, overseeing or performing issue validations, and other tasks as prescribed by Management.

What you will do:

• Assist in the identification of audit/project scope and design of a testing plan to determine if controls designed to support compliance are operating effectively

• Review junior team member work and provide constructive feedback that ensures the accuracy of work completed when compared to the audit plan and to develop junior team members

• Supports the aggregation and presentation of Regulatory Compliance’s activity and metrics

• Support the documentation and reporting of audit findings and recommendations

• Collaborate with senior team members and management to validate corrective actions and compliance improvements

• Participate in training sessions and professional development opportunities to enhance compliance knowledge

• Schedule and participate in meetings with business area personnel to conduct audits and oversee or complete the audit testing results

What you will bring:

• 5+ years of experience in corporate compliance, including audit experience

• Previous experience with investment adviser, broker-dealer, or investment company compliance policies and procedures is highly preferred

• CPA , CIA, CFE, or relevant FINRA licenses preferred

• Bachelors degree or equivalent work experience

• FINRA fingerprinting required

What will set you apart:

• Deep curiosity: desire to understand how things work and why, and how they could work better

• Commitment: you want to get things done right and understand that the team succeeds together or not at all

• Self-driven: proactive in thinking through next steps and not shy about asking for help/direction when needed

• Analytical: ability to distill complex data into actionable insights to drive decision-making and optimize organizational performance

• Empowering: enjoys seeing team members achieve their potential

***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

We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.

• 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) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.

Base Salary Range

$76,300.00 - $107,800.00

The salary range above shows the typical minimum to maximum base salary range for this position in the location listed. Non-sales positions have the opportunity to participate in a bonus program. Sales positions are eligible for sales incentives, and in some instances a bonus plan, whereby total compensation may far exceed base salary depending on individual performance. Actual compensation offered may vary from posted hiring range based upon geographic location, work experience, education, licensure requirements and/or skill level and will be finalized at the time of offer.

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.***

Job Posting End Date at 12:01 am on:

11-23-2024