Senior Product Compliance Manager

Empower is committed to transforming financial lives by offering a flexible work environment and promoting internal mobility. As a Senior Product Compliance Manager, you will provide strategic compliance leadership across Empower's product lifecycle governance, ensuring that investment and advisory offerings comply with regulatory standards.

Responsibilities:

• Provide compliance guidance from product concept through post-launch oversight
• Partner with Product, Legal, and Risk teams to evaluate regulatory requirements for new or modified products
• Identify and coordinate updates to ADV filings, disclosures, and policies tied to product changes
• Review and advise on product marketing materials to ensure accuracy and compliance under SEC, FINRA, and DOL rules
• Collaborate with business partners to balance innovation with regulatory expectations
• Participate in governance forums, committees, and working groups on product development and communications
• Track regulatory developments and advise leadership on potential product impacts
• Maintain and enhance internal procedures supporting Empower’s product compliance framework
• Prepare summaries and reports for senior leadership on compliance activities and emerging risks
• Partner with cross-functional stakeholders to ensure product-related risks are identified, documented, and mitigated

Requirements:

• Bachelor's degree or equivalent experience
• 10+ years of financial services compliance experience with a focus on product development and 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 knowledge of the Investment Advisers Act of 1940, FINRA rules, and related securities regulations
• Deep understanding of complex products such as SMAs, alternatives, and capital markets offerings
• Proven experience reviewing marketing materials for regulatory accuracy and fairness
• Ability to analyze regulatory trends and provide practical, risk-based solutions
• Excellent communication, collaboration, and relationship-building skills
• advanced degree preferred
• Experience supporting full product lifecycle governance at a large broker-dealer or investment adviser
• Must bring a true “challenger” mindset paired with strong relationship-building skills that support long-term, collaborative partnerships with business leaders
• Track record influencing senior leaders and shaping compliance strategy
• Familiarity with technology and data tools that enhance compliance oversight
• Demonstrated ability to balance business objectives with regulatory requirements
• Recognized as a trusted, proactive compliance advisor and partner