Sr Analyst Personal Trading & Compliance

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.

The Sr Analyst Personal Trading and Compliance provides support and helps coordinate the monitoring of personal trading activity of access persons and Empower representatives to help ensure Compliance with the firm’s Code of Ethics and applicable regulatory requirements.

This India-based role reviews outside brokerage accounts, trading activity, pre-clearance requests, and related disclosures, investigates potential exceptions, analyzes trends and recurring issues, recommends appropriate follow-up or remediation, and maintains accurate records and reporting under the direction of US-based Compliance leadership.

The Sr Analyst works collaboratively with business partners to execute established Compliance processes, identify opportunities for process improvement, and support broader Compliance program initiatives, including regulatory research, due diligence, and reporting under applicable SEC and FINRA regulatory frameworks.

ESSENTIAL FUNCTIONS

• Provides senior-level support for the personal trading Compliance program by monitoring access person trading, registered representative reporting, outside brokerage accounts, account feeds or statements, pre-clearance requests, and related disclosures for adherence to the firm’s Code of Ethics and regulatory requirements.
• Review exception reports and supporting documentation, identify potential violations or incomplete disclosures, assess severity and potential patterns, and investigate or elevate issues in accordance with established procedures.
• Execute established procedures related to employee trading, annual and event-driven certifications, disclosure requirements, recordkeeping, and other Code of Ethics and personal trade monitoring obligations; recommend updates to procedures where gaps, inefficiencies, or control enhancements are identified.
• Perform periodic testing activities, including email reviews, trade pattern analyses, and other monitoring designed to assess Compliance with internal policies and applicable regulations; document conclusions and recommend corrective or follow-up actions.
• Research SEC and FINRA regulatory requirements relevant to personal trading and ethics oversight; summarize findings and support updates to policies, procedures, and training materials.
• Prepare recurring reports, metrics, and documentation for management, committees, audits, and regulatory examinations; maintain complete and accurate records of reviews, findings, and remediation.
• Support internal audits, regulatory examinations, and information requests by gathering data, and preparing materials, and maintaining examination-ready files.
• Partner with Compliance Operations, technology teams, and vendors to support system maintenance, user testing, issue resolution, and workflow or reporting enhancements.; help define business requirements and validate control effectiveness for assigned enhancements.
• Provide day-to-day support for Code of Ethics communications and training, respond to routine employee questions, support guidance on recurring issues, and build effective working relationships across business areas.
• Identify opportunities for process improvement and responsibly use approved analytics and AI-enabled tools, with appropriate controls and governance, to improve monitoring and reporting efficiency; support implementation, documentation, and ongoing validation of approved enhancements.
• Provide guidance, quality review, and knowledge sharing to analysts or other team members on personal trading reviews, exception handling, documentation standards, and escalation expectations.

QUALIFICATIONS

• Bachelor’s degree required in finance, accounting, or law; equivalent work experience may be considered.
• 7+ years of experience in Compliance, financial services, securities operations, investment adviser operations, or a securities regulator environment.

Experience should include personal trading Compliance, Code of Ethics administration, employee surveillance, and/or trade monitoring systems (e. g., Star Compliance).), as well as independent handling of exceptions, escalations, reporting, or control reviews.

• Experience working in a global environment and supporting US regulatory or Compliance processes preferred.
• FINRA fingerprinting required
• Strong working knowledge of securities laws and regulations applicable to investment advisers, broker-dealers, mutual funds, and/or personal trading Compliance programs.
• Strong analytical ability, attention to detail, sound judgment, and ability to manage multiple priorities in a deadline-driven environment, including complex reviews, escalations, and recurring reporting deliverables.
• Ability to analyze data, document reviews, and clearly communicate findings, questions, and recommended actions.
• Ability to followindependently apply established procedures, identify potential issues, evaluate exceptions, recommend next steps, and elevate matters appropriately.
• Experience using approved artificial intelligence-enabled tools, including custom GPTs or similar workflow tools, to improve efficiency, consistency, documentation, and reporting, subject to appropriate controls and governance.
• Strong written and verbal communication skills and ability to work collaboratively with Compliance, legal, operations, technology, and business partners.
• Proficiency with Microsoft Office, especially Excel, and ability to learn and use Compliance monitoring, workflow, and reporting systems.
• Ability to work effectively across teams and time zones in a dynamic environment.
• Demonstrates integrity, accountability, and discretion in handling confidential information; no history of any regulatory findings or sanctions.
• Ability to review work product, identify inconsistencies or gaps, and provide constructive feedback to support quality and consistency of Compliance deliverables.

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 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.

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, 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.

#J-18808-Ljbffr