Lead Regulatory Relations

Early Warning Services • Scottsdale, AZ

5d • Hybrid

About The Position

Manages and handles requests from auditors and external parties by engaging and coordinating with key stakeholders across the organization. Proactively prepares for requests and audits by identifying controls and documentation that align with audit request, internal policies and procedures and organizational best practices. Engages with auditors and external parties as required.

Requirements

• Bachelor’s degree or equivalent work experience
• Experience actively participating in external audits (OCC, CFPB, PCI, SOC2, etc) including engagement with the external auditors
• Typically 8 or more years of related experience
• Ability to establish and maintain productive relationships between various leaders, departments and partners across the organization and externally.
• Strong organizational skills, including ability to prioritize multiple simultaneous projects.
• Resourceful and able to leverage internal relationships to obtain quick engagement.
• Background and drug screen

Nice To Haves

• Knowledge of key laws, regulations and guidance in the financial services industry typically gained through five or more years in a compliance or risk management role
• Compliance certification (CCEP, CRCM) or related degree

Responsibilities

• Provides logistical support for audits, including scheduling meetings, reserving conference rooms, sending out calendar invites, building access, and availability of equipment as needed.
• Manages and leads customer audits and responses, including but not limited to merchant and/or customer questionnaires, inquiries and findings.
• Supports team and stakeholder education and awareness by developing customer audit training materials, facilitating training, and by providing guidance and sharing best practices.
• Coordinates and respond to new and existing customer requests for onsite audits and work across business lines to gather, coordinate and standardize requested documentation; obtain leadership approval; complete security, compliance or governance-related questionnaires.
• Tracks deliverables to ensure timely completion and evaluate provided materials for relevance, accuracy and completeness against request; provide guidance and revision recommendations for deliverables that are not aligned with sharing guidelines and internal policies and procedures.
• Monitors customer audit findings and follow up with stakeholders to ensure timely remediation and response.
• Reviews and analyzes historical audit and data requests, audit findings, and other external requests to support audit preparation activities and inform oversight activities.
• Ensures approved and current Annual Risk Report documentation is made available to customer assessors and manage the portal site groups/content.
• Continuously identifies and implements efficiencies across the Compliance Regulatory Relations Program, including supporting the implementation and use of an exam management application workflow.
• Assists in comparing controls, policies, procedures, work instructions, and other internally generated documentation to audit requirements, regulations, and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified.
• Provides support by reviewing updates to policies, procedures, and systems based on audit requests and findings, and by completing projects in support of regulators, auditors and the compliance department.
• Develops and issues reporting to leadership.
• Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.

Benefits

• Competitive medical (PPO/HDHP), dental, and vision plans
• Company contributions to your Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA) for commuting, health & dependent care expenses.
• 100% Company Safe Harbor Match on your first 6% deferral immediately upon eligibility for the 401(k) Retirement Plan
• Flexible Time Off for Exempt (salaried) employees
• Generous PTO for Non-Exempt (hourly) employees
• 11 paid company holidays
• A paid volunteer day
• 12 weeks of Paid Parental Leave
• Maven Family Planning – provides support through your Parenting journey including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: Associate degree