Senior Director, Compliance Monitoring & Surveillance

Empower

. Establish strategies, priorities, goals, and procedures for Empower’s Compliance Monitoring and Surveillance program .

Posted 9/23/2026full-timeRemote • United StatesSenior💰 $144,900 - $210,075 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates extensive experience in Compliance Monitoring and Surveillance, with a strong focus on developing and implementing risk-based compliance programs in accordance with SEC, FINRA, and DOL regulations. Proven ability to lead teams, communicate effectively with senior leadership, and utilize data-driven solutions for compliance oversight.

Highest-signal resume keywords

Compliance Monitoring And SurveillanceRisk-Based Compliance ProgramsFINRA Series 7 And 65Leadership In ComplianceSurveillance Technology And Data Analytics

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance MonitoringRisk AssessmentData AnalysisRegulatory ComplianceSales Practice MonitoringSurveillance MethodologiesPerformance ManagementPolicy DevelopmentMetrics ReportingCompliance Controls

Soft Skills

Strategic ThinkingEffective Decision-MakingExceptional CommunicationTeam LeadershipCollaboration

Tools & Technologies

Surveillance TechnologyData Analytics PlatformsBusiness Intelligence PlatformsCompliance Reporting ToolsElectronic Communications Monitoring

Certifications & Qualifications

FINRA Series 7FINRA Series 65FINRA Fingerprinting

Industry Keywords

Financial ServicesSEC RegulationsFINRA RegulationsDOL RegulationsCompliance StandardsRegulated EnvironmentCompliance PoliciesEthical StandardsKRI And KPI MonitoringFront-Office Compliance

About the role

Key responsibilities & impact

Establish strategies, priorities, goals, and procedures for Empower’s Compliance Monitoring and Surveillance program
Lead detection of compliance control gaps, deficiencies, and potential violations across sales practices, marketing, client interactions, electronic communications, and other front-office activities
Design and implement technology- and data-driven surveillance solutions
Develop and enhance risk-based compliance monitoring and surveillance controls for SEC, FINRA, DOL, and state regulatory requirements
Develop reporting for Compliance leadership on findings, emerging risks, trends, metrics, and program enhancements
Establish and monitor KRIs, KPIs, surveillance thresholds, and program effectiveness metrics
Advise senior leadership, Supervising Principals, and business partners on compliance policies and regulatory considerations
Lead the Compliance monitoring and surveillance team, including talent selection, workload management, performance management, mentoring, and professional development
Promote quality execution, accountability, professional growth, and alignment with compliance and ethical standards
Track compliance issues and oversee remediation, escalation, follow-up, and closure
Communicate significant compliance risks, findings, and trends to senior leadership and stakeholders
Develop and refine policies, procedures, controls, and oversight mechanisms

Requirements

What you’ll need

Bachelor’s degree or equivalent work experience required
10+ years of progressive experience in Compliance, Compliance Monitoring and Surveillance, Risk, or Legal within the financial services industry
8+ years of leadership experience overseeing compliance monitoring and surveillance programs within a regulated financial services environment
Demonstrated experience leading and developing compliance professionals
FINRA Series 7 and 65, or Series 7 and 66, required or ability to obtain within the corporate-required timeframe
FINRA Fingerprinting required
Experience developing, implementing, and continuously enhancing risk-based compliance monitoring and surveillance programs
Experience with sales practice monitoring, electronic communications surveillance, and front-office compliance oversight
Experience leveraging surveillance technology, data analytics, reporting, and automation
Strong knowledge of SEC, FINRA, DOL, and applicable state regulatory requirements
Strong knowledge of supervisory control frameworks, sales practice monitoring, surveillance methodologies, and front-office compliance oversight
Ability to identify, assess, and measure regulatory and operational risks and evaluate compliance controls
Ability to develop, analyze, and interpret data, metrics, and reporting
Ability to build, develop, and lead high-performing teams
Exceptional written and verbal communication skills
Ability to partner with senior leadership and business leaders
Strategic thinking, sound judgment, and effective decision-making
Ability to work independently in a collaborative, cross-functional environment
Experience with surveillance, communications-monitoring, analytics, or business intelligence platforms used by Empower
Applicants must be authorized to work for any employer in the U.S.; no employment visa sponsorship available

Benefits

Comp & perks

Medical, dental, vision and life insurance
401(k) plan with generous company matching contributions (up to 6%)
Financial advisory services
Potential company discretionary contribution
Broad investment lineup
Tuition reimbursement up to $5,250/year
Business-casual environment including the option to wear jeans
Generous paid time off upon hire
Ten paid company holidays and three floating holidays each calendar year
Paid volunteer time — 16 hours per calendar year
Paid parental leave
Paid short- and long-term disability
Family and Medical Leave (FMLA)
Business Resource Groups (BRGs)
Reliable high-speed internet with a wired connection and a suitable home workspace; necessary computer equipment provided