Grow your career with a growing organization
Whether they're helping people reach their long-term financial goals or providing personal wealth management strategies, every associate contributes to changing the lives of those we serve for the better. When it comes to job satisfaction, that's hard to beat. And from a personal satisfaction perspective, you'll enjoy the freedom to support causes that matter to you and experience a truly inclusive work environment. Your future starts now.
Location: Anywhere in US (remote)
Position Summary:
As Senior Compliance Manager at Personal Capital, you will be an integral part of the legal and compliance team dedicated to supporting the business and helping Personal Capital grow responsibly and efficiently. The Senior Compliance Manager will report to the Senior Director of Compliance as part of a small, cohesive, and hardworking team. We are seeking a seasoned compliance professional who is a passionate team player, is detail-oriented, enthusiastic, diligent, resourceful and wants to be in a fast-paced financial services company.
Our ideal candidate will be a marketing and advertising review expert and have proven experience in evaluating complex marketing initiatives and public facing content for registered investment advisers. The Senior Compliance Manager will also be responsible for evaluating new initiatives, relationships, or regulatory developments and proposing compliance corresponding program changes or control enhancements. They will also perform a variety of ad hoc projects upon request, including project scoping, management, and execution with little direction. Over time, this person will also be a mentor and a leader for more junior members of the team and will assist the Senior Director of Compliance with day to day workflow and delegation of certain responsibilities. This role requires someone who has strong collaboration skills and can build effective working relationships with other key departments including the Marketing and Product Teams. This is an exciting opportunity for someone to expand their knowledge and expertise in a rapidly growing, technology forward environment.
Key Requirements:

• JD or Bachelor's degree in business or equivalent experience
• 5+ years of experience in investment adviser, compliance, legal, or internal audit roles

• Proven understanding of compliance operations and meaningful SEC/FINRA experience (emphasis on marketing or advertising review a plus)

• Ability to independently lead complex projects or initiatives with little direction
• Passion for continuing to apply and expand their knowledge and understanding of federal securities rules and regulations governing the investment advisory industry
• Strong interpersonal skills for interacting with senior management and representing Compliance in meetings, forums, and working groups
• Excellent communication skills (written and verbal) with the ability to anticipate and provide solutions to complicated problems and be capable of presenting them in a clear and compelling manner
• Strong organizational skills and ability to meet deadlines
• Detail oriented with the ability to apply strategic problem-solving skills
• Working knowledge of financial planning and capital markets a plus
• Proficiency in MS Word, Excel, and other Microsoft Office applications and experience with financial industry technology applications

To Apply:

• Submit resume detailing your experience
• Submit a cover letter explaining why you would be a great fit

Please note that this role is being posted by Personal Capital, an Empower company. Personal Capital roles are cross-posted to the Empower web site and are also available at https://www.personalcapital.com/company/jobs. For more information about Personal Capital, please visit www.personalcapital.com
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 5%), 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 nine 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) - internal networks that rally around common interest, experiences and identities such as race, ethnicity, gender, ability, military status and sexual orientation. BRGs play a vital role in educating and engaging our people and advancing our business priorities.

The salary range below describes the 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.
Base Salary Range
$ 93,700.00-145,200.00
Location
CO Remote
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.