Senior Analyst Communications Compliance

About the role

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.

What you'll do

• Review and approve complex public, retail, institutional, and internal communications for compliance with applicable FINRA, SEC, state securities
• File applicable communications materials with FINRA and maintain required advertising and communications records
• Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials to determine whether communications meet applicable regulatory standards
• Respond to inquiries from internal business partners regarding communications compliance requirements, regulatory standards, and the communications review process
• Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations, requests, and inquiries

What you need

• 8–14 yrs of experience
• Compliance
• Documentation
• Any graduate