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 surveillance reviews and investigations as required.

- Coordinate compliance programs and perform operational or surveillance activities required under SEC and FINRA regulations governing broker-dealer and investment adviser affiliates.

- Serve as a subject matter expert for assigned products, services, or regulatory requirements and provide training and guidance to other compliance specialists as needed.

- Educate internal and external business partners on communications review processes, procedures, product requirements, and relevant regulatory or industry changes.





- Independently manage higher-complexity communications reviews and escalate significant regulatory or compliance risks to appropriate decision makers.

- Provide guidance or coaching to less-experienced communications compliance team members.

What You Will Bring

- 8+ years of experience in financial services compliance.

- Knowledge of registered securities products and applicable communications compliance requirements.

- Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications.

- Solid knowledge of FINRA, SEC, federal, and state securities regulations and applicable insurance regulations.

- FINRA Series 6 and 26 registrations or Series 7 and 24 registrations

- FINRA Fingerprinting required.

- Strong analytical skills and attention to detail.

- Ability to interpret regulatory requirements and apply them to complex communications.

- Ability to complete communications reviews accurately and within established service or turnaround standards.

- Demonstrated ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment.

- Strong written and verbal communication skills.

- Ability to build effective working relationships with business partners, management, and staff across the organization.

- Ability to work independently with limited supervision.

- Bachelors degree or equivalent

What Will Set You Apart

- Prior experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization.

- Experience responding to FINRA Advertising Regulation inquiries or supporting SEC, FINRA, state, or other regulatory examinations.

- Experience developing, maintaining, or testing communications compliance policies and procedures.

- Experience serving as a communications compliance subject matter expert and training or mentoring other compliance professionals.

- Experience managing complex or escalated communications compliance matters.

- Working knowledge of Empower's business model, products, and services

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