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 versatile work setting, 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 setting, 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 Sr Analyst Personal Trading and Compliance provides support and helps coordinate the monitoring of personal trading activity of access persons and Empower representatives to help ensure Compliance with the firm’s Code of Ethics and applicable regulatory requirements. This India-based role reviews outside brokerage accounts, trading activity, pre-clearance requests, and related disclosures, investigates potential exceptions,



analyzes trends and recurring issues, recommends appropriate follow-up or remediation, and maintains accurate records and reporting under the direction of US-based Compliance leadership. The Sr Analyst works collaboratively with business partners to execute established Compliance processes, identify opportunities for process improvement, and support broader Compliance program initiatives, including regulatory research, due diligence, and reporting under applicable SEC and FINRA regulatory frameworks.

Essential Functions

Provides senior-level support for the personal trading Compliance program by monitoring access person trading, registered representative reporting, outside brokerage accounts, account feeds or statements, pre-clearance requests, and related disclosures for adherence to the firm’s Code of Ethics and regulatory requirements.
Review exception reports and supporting documentation, iden

📌 Sr Analyst Personal Trading Bengaluru (India)
🏢 Empower India
📍 India