高级专员 药品监管策略与准备

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 Senior Specialist, Regulatory Strategy & Readiness supports the development and execution of the firm’s regulatory intelligence, regulatory readiness, and regulatory change governance capabilities. This role monitors and analyzes regulatory developments, maintains regulatory inventories and readiness materials, prepares executive-level reporting, and supports mock regulatory examinations and strategic regulatory initiatives.
The Senior Specialist translates complex regulatory information into organized, accurate, and actionable insights that help the organization anticipate emerging regulatory risks and prepare effectively for regulatory examinations and supervisory scrutiny.
What You Will Do

• Monitor regulatory developments from the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Department of Labor (DOL), state insurance regulators, state securities regulators, and other relevant regulatory authorities, including proposed and final rules, guidance, examination priorities, enforcement actions, speeches, and industry developments.

• Analyze regulatory developments for potential applicability, business impact, risk significance, urgency, and anticipated supervisory expectations.

• Support regulatory examinations, inquiries, and supervisory engagements during periods of elevated regulatory activity, including coordinating document requests, evidence collection, interview preparation, request tracking, issue management, and other examination-management activities in partnership with Regulatory Response.

• Prepare concise regulatory intelligence summaries, thematic analyses, executive briefings, and periodic regulatory outlook materials.

• Maintain a structured repository of regulatory developments, emerging regulatory themes, enforcement trends, and anticipated examination focus areas.

• Escalate significant regulatory developments and emerging risks with supporting analysis and recommended next steps.

• Support the planning and execution of mock regulatory examinations, regulatory readiness assessments, tabletop exercises, and targeted thematic reviews.

• Assist with examination scope development, document request lists, evidence collection, interview schedules, walkthroughs, issue tracking, and final reporting.

• Maintain examination playbooks, readiness checklists, regulator profiles, issue logs, action plans, and remediation evidence.

• Analyze prior regulatory examination findings, regulatory inquiries, complaints, compliance testing results, and industry themes to support risk-based readiness planning.

• Track regulatory readiness actions through closure and support validation of remediation quality and sustainability.

• Maintain the enterprise regulatory inventory and support the completeness, accuracy, and timeliness of regulatory change records.

• Coordinate with the Corporate Compliance Manager and other stakeholders on regulatory impact assessments, ownership, implementation milestones, evidence requirements, and status reporting.

• Prepare regulatory change governance materials, dashboards, meeting agendas, minutes, action logs, and escalation reporting.

• Perform quality assurance of regulatory change data and support process enhancements and automation.

• Develop dashboards and metrics related to regulatory developments, readiness activities, mock examinations, regulatory changes, open actions, and emerging trends.

• Synthesize qualitative and quantitative information into clear, decision-useful reporting for senior leadership and governance forums.

• Coordinate cross-functional meetings, maintain workplans, track deliverables, and follow up on commitments.

• Support regulatory strategy, readiness, and other special projects led by the Senior Director or Head of Regulatory Strategy & Testing.

What You Will Bring

• Bachelor’s degree in business, finance, law, risk, compliance, public policy, or a related field

• 5+ years of experience in financial services compliance, regulatory affairs, legal, risk management, audit, or a related discipline

• Working knowledge of financial services regulatory frameworks and demonstrated ability to interpret complex regulatory materials

• Strong research, analytical, writing, presentation, project management, and organizational skills

• Ability to identify regulatory themes, distinguish material issues from lower-priority information, and communicate findings clearly to senior audiences

• Advanced proficiency with Microsoft Office

• Strong attention to detail, sound judgment, intellectual curiosity, and ability to manage multiple priorities independently

What Will Set You Apart

• Experience with workflow, regulatory change management, dashboard, or data visualization tools

• Experience supporting regulatory examinations, mock examinations, regulatory readiness assessments, or regulatory change management programs

• Experience within a broker-dealer, registered investment adviser, insurance, banking, or diversified financial services organization

• Experience developing regulatory reporting, dashboards, or executive-level materials for Compliance, Legal, Risk, or governance stakeholders

***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
$72,200.00 - $101,975.00The 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:
09-26-2026Want the latest money news and views shaping how we live, work and play? Stay in the know with The Currency and sign up for Empower’s free newsletter.
Originally posted on Himalayas