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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.

This role supports the Empower Personal Wealth (EPW) business, providing oversight and support to front line Registered Principals/Direct Supervisors in the general supervision of Registered Representatives and certain Investment Advisor Representatives activities. As part of responsibilities, the role provides oversight of supervision procedures, escalations, coordination of certain books and records, and general education on workflows. The role is accountable for process improvement, education on regulatory requirements, tracking and reporting and workflows for oversight requirements. The role requires FINRA Registration, compliance expertise, knowledge of systems and workflows, and expertise around regulatory procedures and requirements.

What you will do:

• Consult regularly with sales /service team management on effective supervision; Ensure management performs appropriate coaching related to identified issues with call reviews, errors and incidents, audit/control testing findings, etc.
• Provide training to Managers, Team Leads and applicable registered principals on firm supervisory policies and procedures; Support new hire training sessions as needed to provide overview and answer questions related to Supervision.
• Partner with Compliance, HR and management to recommend and support monitoring of individuals where additional supervision is warranted.
• Preparation of regular reporting on supervisory trends and activities. Execute plans to remediate issues identified.
• Ensure proper record keeping is maintained through periodic self-audits of applicable branch office records.
• Conduct reviews of electronic and written communications and ensure any complaints and/or policy violations are handled accordingly.
• Provide backup and consultative support to other department teams as needed for call quality reviews, call review calibrations and/or disputes, best interest suitability reviews or other functions as needed; Gather input from other teams as applicable for creation of manager scorecards and coaching discussions.
• Partner with Training, Compliance and Legal staff to develop and maintain supervisory policies and procedures and to design/develop training resources to mitigate frequent findings and escalations.
• Participate in department projects and initiatives to provide supervision/regulatory compliance lens.
• Support and/or conduct risk self-assessments as needed.
• Support audits, exams and regulatory inquiries, including action plan(s) implementation.
• AUTONOMY: Position requires the ability to make independent evaluation of suitability of securities recommendations and/or applicability of regulatory rules.
• The role requires the individual to apply time management to prioritize their schedules and activities to meet deadlines.
• Some travel may be required

What you will bring:

• Bachelors Degree in a business or finance related field of study or equivalent work experience in retirement / wealth management / financial service industry
• FINRA Series 7 and 24 registrations required

What will set you apart:

• Knowledge and experience in regulatory compliance and/or supervision required
• Strong written and verbal communication skills, including the ability to escalate effectively
• Analytical skills – ability to identify emerging trends, conduct data/trending analysis and present findings effectively
• Ability to work in a fast-paced environment and make informed decisions using good judgement
• Ability to develop and maintain strong working relationships with peers and internal partners
• Ability to influence and drive outcomes
• Demonstrated ability to work both independently and collaboratively in a team environment
• Intermediate skill level with Microsoft Office applications (Word, Excel, PowerPoint, Outlook, TEAMS, Sharepoint, etc)
• INTERNAL & EXTERNAL CONTACTS:
• EFSI and EAG Compliance, Law and Training
• EPW Sales and Service teams
• Risk and Internal Audit
• EPW Audit, Incident & Control
• EPW Quality Assurance

Physical Requirements/Working Conditions: Normal Office Working Conditions

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This job description is not intended to be an exhaustive list of all duties, responsibilities and qualifications of the job. The employer has the right to revise this job description at any time. You will be evaluated in part based on your performance of the responsibilities and/or tasks listed in this job description. You may be required to perform other duties that are not included on this job description. The job description is not a contract for employment, and either you or the employer may terminate employment at any time, for any reason.

**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

$69,400.00 - $98,050.00

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:

12-18-2024