Senior Specialist Regulatory Strategy & Readiness

About this role

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 vis

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