Senior Director Regulatory Strategy & Readiness

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 flexible work environment, 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. The Senior Director, Regulatory Strategy & Readiness is a senior leader responsible for advancing the firm’s proactive regulatory strategy, enterprise regulatory readiness, and regulatory change management capabilities. Reporting to the Head of Regulatory Strategy & Testing, this role identifies emerging regulatory expectations, translates regulatory developments into actionable business strategies, and leads cross-functional initiatives to prepare the organization for regulatory examinations, supervisory engagements, and evolving regulatory risk.

The Senior Director serves as a strategic advisor to the Head of Regulatory Strategy & Testing, leads major enterprise initiatives, represents the function in executive and governance forums, and provides leadership depth across the Regulatory Strategy & Testing organization. What You Will Do Support the development and execution of enterprise regulatory strategy in alignment with business priorities, compliance objectives, and the firm’s risk appetite.

Establish and lead a disciplined regulatory horizon-scanning process covering the Securities and Exchange Commission (SEC), Financial Industry Regulatory Authority (FINRA), Department of Labor (DOL), state insurance regulators, state securities regulators, banking regulators, and other relevant regulatory authorities. Provide senior leadership and examination-management support during periods of elevated regulatory activity, including significant or concurrent examinations, inquiries, and supervisory engagements, helping the organization scale regulatory response capacity.

Assess rulemaking, regulatory examination priorities, enforcement actions, speeches, guidance, industry developments, and supervisory themes to identify emerging regulatory risks and potential areas of regulatory scrutiny. Translate complex regulatory developments into clear, practical implications and recommendations for senior leadership, Compliance, Legal, Risk, and business stakeholders. Develop executive-level regulatory outlooks, thematic analyses, briefing materials, and recommendations for Compliance leadership and governance committees.

Maintain a forward-looking view of regulatory risk and recommend changes to priorities, resources, governance, controls, policies, testing, and regulatory readiness activities. Design, establish, and maintain an enterprise Regulatory Readiness Program to evaluate preparedness for anticipated regulatory examinations and supervisory engagements. Identify priority regulatory themes and business areas for mock examinations using regulatory intelligence, prior examinations, complaints, testing results, business changes, and risk assessments.

Plan and lead mock regulatory examinations, including scope development, document requests, interviews, walkthroughs, governance reviews, evidence assessments, challenge sessions, and final reporting. Assess governance, controls, documentation, supervisory practices, issue management, management information, and evidence of compliance against anticipated regulatory expectations. Develop regulator-specific examination playbooks, readiness checklists, tabletop exercises, readiness scorecards, and escalation protocols.

Coordinate remediation plans arising from readiness assessments and validate that corrective actions are sustainable, ap