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.
Compliance Operations Analyst
The Compliance Operations Analyst supports Regulatory Compliance, Licensing, Registration, and Broker-Dealer Operations through regulatory operations, reporting, administrative coordination, data quality, and analytical support. Working under the direction of Compliance leadership, this role helps ensure regulatory and operational activities are completed accurately, efficiently, and within established service-level expectations.
What You Will Do
- Perform operational activities supporting regulatory compliance, licensing, registration, and broker-dealer operations.
- Maintain regulatory records, documentation, operational files, and supporting materials in accordance with internal governance and regulatory requirements.
- Support the preparation, review, and processing of regulatory forms, licensing documentation, registration activities, and related operational requests.
- Coordinate documentation and materials supporting regulatory examinations, audits, and internal reviews.
- Perform quality reviews of operational data and documentation to ensure accuracy, completeness, and consistency.
- Support administration of regulatory systems, databases, and operational tools used for licensing, registration, and broker-dealer activities.
- Maintain and distribute recurring operational metrics, dashboards, and management reports for Compliance Operations.
- Compile data from multiple systems to report on workload, service levels, regulatory activities, operational performance, and key performance indicators.
- Analyze operational data to identify trends, exceptions, outstanding requirements, and opportunities for process improvement.
- Produce reporting supporting licensing, registration, training, issue management, attestations, and other Compliance Operations activities.
- Assist with the development and enhancement of reporting solutions that improve visibility into regulatory obligations and operational performance.
- Coordinate administration of required corporate and regulatory training programs.
- Monitor training enrollment, attendance, completion status, overdue requirements, and related compliance obligations.
- Prepare recurring training reports and coordinate reminders and follow-up activities for outstanding requirements.
- Maintain training records and supporting documentation.
- Maintain calendars and tracking tools for regulatory deadlines, examinations, operational milestones, projects, deliverables, and recurring compliance activities.
- Coordinate, initiate, and monitor recurring associate attestations and certifications required by Compliance programs.
- Produce reporting on attestation completion rates, exceptions, and outstanding items.
- Maintain documentation supporting regulatory requirements and internal controls.
- Collaborate with onshore and offshore team members to ensure operational activities are completed within established service-level expectations.
What You Will Bring
- Bachelor's degree in Business, Finance, Accounting, Information Systems, or a related discipline, or equivalent professional experience.
- 2–4 years of experience in financial services, operations, compliance, business support, or a related analytical role.
- Experience working in a regulated or process-driven environment.
- Experience producing operational reports, dashboards, management metrics, or key performance indicators.
- Strong proficiency with Microsoft Excel, Word, and PowerPoint.
- Strong analytical and problem-solving skills with attention to data quality, accuracy, and detail.
- Ability to compile, reconcile, and analyze information from multiple systems or data sources.
- Strong organizational and time-management skills with the ability to manage multiple assignments and competing priorities.
- Ability to learn and work across multiple regulatory systems, databases, and operational processes.
- Effective written and verbal communication skills.
- Ability to collaborate effectively with geographically distributed teams and business partners.
- Ability to meet established deadlines and service-level expectations.
- Experience supporting regulatory documentation, licensing, registration, training administration, or other compliance operations processes.
What Will Set You Apart
- Experience in financial services, retirement services, broker-dealer operations, insurance operations, or Compliance Operations.
- Experience supporting licensing or securities registration activities.
- Experience with regulatory training administration, attestations, certifications, or compliance workflow management.
- Experience supporting regulatory examinations, audits, or internal reviews.
- Experience using Microsoft Power BI for dashboards, reporting, or data visualization.
- Experience using SharePoint or similar document management and workflow tools.
- Experience developing or maintaining operational reporting, dashboards, key performance indicators, or service-level metrics.
- Experience coordinating projects, regulatory deadlines, or recurring operational activities.
- Familiarity with continuous improvement or process optimization practices.
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.
