Kevin Spence, CSCP, IAACP

Kevin Spence is Senior Director of Compliance at Empower, providing advice and guidance across the broker‑dealer and investment advisory businesses. Before joining Empower, he led a team at TIAA responsible for broker‑dealer policy management, regulatory reporting, and training & operations. He currently serves as an appointed member of the Continuing Education Council.

A solutions‑oriented financial‑services executive with more than 20 years of regulatory compliance experience, Kevin is a published author and frequent industry speaker on emerging compliance and risk topics. His articles have appeared in the Journal of Financial Compliance. He has held senior compliance and regulatory roles including Chief Compliance Officer & Regulatory Counsel at Cary Street Partners and leadership positions at large firms such as HSBC and Wells Fargo Advisors.

Kevin earned a BS from Virginia Commonwealth University and a JD from Saint Louis University School of Law. He holds FINRA Series 7, 9, 10, 14, 24, and 53 registrations, is a certified FINRA Arbitrator, and holds the CSCP® and IACCP® designations. He is also a member of the District of Columbia and North Carolina Bar Associations.