Executive Director, Compliance Monitoring & Surveillance

Empower Retirement is seeking a Senior Director of Compliance Monitoring and Surveillance to lead a team across front-office functions in Colorado. You will establish monitoring strategies, detect control gaps, and design data-driven surveillance solutions to reduce regulatory risk. You will report findings to Compliance leadership and drive program enhancements with a risk-based approach. You will develop KPIs, mentor professionals, and ensure adherence to SEC/FINRA/DOL and state requirements,