Lead Specialist, 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 a Lead Specialist of Advice and Guidance, you will play a key role in ensuring Empower delivers consistent, compliant, and high-quality advice to clients across its front-office channels. You’ll serve as a subject matter expert for complex advice and supervisory questions, lead the development of policies and procedures that promote best-interest standards, and partner across Compliance, Supervision, and Business teams to strengthen Empower’s advice framework. Your work helps protect clients and supports Empower’s mission to deliver trusted, transparent financial guidance.

What you will do:

• Provide advice and regulatory interpretation to front-office teams on complex advice and supervision matters

• Act as an escalation point for issues related to advice delivery, investment recommendations, and oversight

• Design and enhance programs that promote advice quality, suitability, and best-interest compliance across broker-dealer and advisory channels

• Develop and deliver training and communications on advice standards and regulatory expectations

• Collaborate with Compliance, Supervision, Legal, Operations, and business leadership to align advice delivery with Empower’s compliance framework

• Research evolving SEC, FINRA, DOL, and state requirements; recommend updates to policies and processes

• Prepare reports and presentations for leadership on advice oversight trends and program effectiveness

• Represent Advice and Guidance on committees and workgroups focused on policy, risk, and regulatory change

• Mentor peers and provide technical and procedural support to promote consistency in advice oversight

• Support responses to internal audits, regulatory exams, and special projects to improve advice infrastructure and technology

What you will bring:

• Bachelor’s degree or equivalent experience

• 7+ years of financial services experience, including 3+ years in advice, supervision, or compliance oversight

• 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

• 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 understanding of advice delivery, suitability, and best-interest obligations under SEC, FINRA, and DOL regulations

• Proven ability to interpret and draft policies and apply regulatory guidance to business practices

• Excellent analytical, investigative, and written communication skills

• Ability to manage multiple priorities and make sound, independent, risk-based decisions

• Strong collaboration and relationship-building skills across business and control functions

What will set you apart:

• Recognized subject matter expertise in advice delivery and supervisory oversight

• Experience enhancing compliance programs or advice governance frameworks

• Must bring a true “challenger” mindset paired with strong relationship-building skills that support long-term, collaborative partnerships with business leaders

• Track record mentoring peers and supporting cross-functional initiatives

• Familiarity with technology tools and data analytics that strengthen compliance monitoring

• Demonstrated success improving advisor experience through clear guidance and streamlined processes

***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