Lead Specialist, Front Office Advice & Guidance

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.

As a Lead Specialist of Advice and Guidance, you will play a key role in ensuring Empower delivers consistent, compliant, and high-quality advice to clients across its front-office channels. You'll serve as a subject matter expert for complex advice and supervisory questions, lead the development of policies and procedures that promote best-interest standards, and partner across Compliance, Supervision, and Business teams to strengthen Empower's advice framework. Your work helps protect clients and supports Empower's mission to deliver trusted, transparent financial guidance.

• Provide advice and regulatory interpretation to front-office teams on complex advice and supervision matters

• Act as an escalation point for issues related to advice delivery, investment recommendations, and oversight

• Design and enhance programs that promote advice quality, suitability, and best-interest compliance across broker-dealer and advisory channels

• Develop and deliver training and communications on advice standards and regulatory expectations

• Collaborate with Compliance, Supervision, Legal, Operations, and business leadership to align advice delivery with Empower's compliance framework

• Research evolving SEC, FINRA, DOL, and state requirements; recommend updates to policies and processes

• Prepare reports and presentations for leadership on advice oversight trends and program effectiveness

• Represent Advice and Guidance on committees and workgroups focused on policy, risk, and regulatory change

• Mentor peers and provide technical and procedural support to promote consistency in advice oversight

• Support responses to internal audits, regulatory exams, and special projects to improve advice infrastructure and technology

• Bachelor's degree or equivalent experience

• 7+ years of financial services experience, including 3+ years in advice, supervision, or compliance 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 understanding of advice delivery, suitability, and best-interest obligations under SEC, FINRA, and DOL regulations

• Proven ability to interpret and draft policies and apply regulatory guidance to business practices

• Excellent analytical, investigative, and written communication skills

• Ability to manage multiple priorities and make sound, independent, risk-based decisions

• Strong collaboration and relationship-building skills across business and control functions

• Recognized subject matter expertise in advice delivery and supervisory oversight

• Experience enhancing compliance programs or advice governance frameworks

• Must bring a true "challenger" mindset paired with strong relationship-building skills that support long-term, collaborative partnerships with business leaders

• Track record mentoring peers and supporting cross-functional initiatives

• Familiarity with technology tools and data analytics that strengthen compliance monitoring

• Demonstrated success improving advisor experience through clear guidance and streamlined processes

***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) - BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.

Base Salary Range

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: