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 workplace, 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.
What You Will Do
Review and approve complex public, retail, institutional, and internal communications for compliance with applicable FINRA, SEC, state securities, and insurance regulations and company policies.
Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials to determine whether communications meet applicable regulatory standards.




File applicable communications materials with FINRA and maintain required advertising and communications records.
Respond to inquiries from internal business partners regarding communications compliance requirements, regulatory standards, and the communications review process.
Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations, requests, and inquiries.
Develop and maintain subject matter expertise in communications regulations, securities and insurance products, and company compliance policies.
Assist with maintaining and updating compliance policies based on regulatory changes and changes in business activities.
Create, maintain, and test procedures and controls related to communications compliance reviews.
Prepare quarterly and annual compliance reporting for management and senior leadership.
Research and compile documentation required for regulatory examinations and inquiries.
Conduct compliance surveil

📌 Senior Communications Compliance Analyst II (Bengaluru)
🏢 Empower
📍 Bengaluru