Senior Director, Front Office Advice & Guidance

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 the Senior Director of Front Office Advice and Guidance, you will serve as a trusted compliance advisor to Empower’s front-office and supervisory leaders. You’ll guide the advice, sales, and service functions within Empower Personal Wealth (EPW) and Empower Workplace Solutions (EWS) to ensure activities meet all regulatory and internal standards. Leading a team of compliance professionals, you’ll provide oversight across both broker-dealer and investment advisory operations—helping Empower deliver advice with integrity, transparency, and consistency.

What you will do:

• Partner with the VP of Compliance, senior leaders, and front-office executives to implement the compliance framework for EPW and EWS

• Serve as the primary compliance contact for advice delivery, supervision, and client conduct matters

• Provide expert interpretation and guidance on SEC, FINRA, and DOL regulations, including Regulation Best Interest and the Investment Advisers Act of 1940

• Advise business leaders on regulatory impacts of major initiatives and recommend risk-based solutions

• Define and manage compliance initiatives supporting advice, distribution, and supervision functions

• Coordinate across business and control partners to implement new or evolving regulatory requirements

• Track open compliance issues to ensure timely resolution and escalation as needed

• Communicate emerging risks, trends, and program updates to senior management and key stakeholders

• Develop and maintain compliance policies, procedures, and governance frameworks for front-office activities

• Represent Compliance on committees and working groups related to client advice, supervision, and service

What you will bring:

• Bachelor’s degree or equivalent experience (advanced degree preferred)

• 10+ years of compliance experience within broker-dealer and investment advisory environments

• 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

• Proven experience leading compliance programs or advisory functions at a senior level

• Must have the 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.

• Deep understanding of SEC, FINRA, and DOL regulations and enforcement trends

• Strong knowledge of advice delivery, supervision, and client interaction frameworks

• Excellent communication and relationship-building skills across business and control teams

• Strategic thinking and sound judgment in applying regulatory standards to business initiatives

• Must demonstrate a “challenger” mindset and strong relationship skills to build durable, collaborative partnerships with business leaders

What will set you apart:

• Recognized as a trusted compliance advisor to senior leadership

• Experience building or transforming compliance programs in dynamic business settings

• Deep familiarity with compliance governance and control effectiveness assessments

• Track record of identifying and remediating control weaknesses through partnership

• Proven success balancing business objectives with regulatory expectations

• Exceptional written and verbal communication skills for executive audiences

***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.***

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