Lead Regulatory Relations

Early Warning Services • Scottsdale, AZ

6d • $104,000 - $130,000 • Hybrid

About The Position

The Lead Regulatory Relations position manages requests from external regulators and auditors by engaging and coordinating with stakeholders across the organization. The role proactively prepares for regulatory requests and examinations by identifying controls and documentation aligned with regulatory expectations and organizational best practices, and engages directly with regulators and auditors as needed.

The position facilitates regulatory examinations and audits, coordinates documentation across business lines, tracks deliverables, evaluates materials for accuracy and completeness, and advises teams on revisions. It also supports improvements to the Compliance Regulatory Relations Program, analyzes historical requests and findings, reviews changes to policies and systems, develops leadership reporting, and supports risk management and the integrity and confidentiality of systems and data.

The role also facilitates technical and information security audits and assessments, including PCI DSS, SOC 2, and other applicable cybersecurity and technology-related examinations. It partners with Information Security, IT Infrastructure, Cybersecurity, and other technical teams to coordinate audit activities, review supporting documentation, and ensure timely, accurate responses.

The position follows a hybrid work model. The listed base pay range for Phoenix, Arizona; Chicago, Illinois; and Washington, D.C. is $104,000–$130,000 per year. Candidates may also be eligible for a discretionary incentive plan and benefits. Candidates must already be eligible to work in the United States for any employer; employment visa sponsorship is unavailable.

Requirements

• Experience actively participating in external audits, such as OCC, CFPB, PCI, or SOC 2, including engagement with external auditors.
• Working knowledge of technology infrastructure and systems, and information security terms and practices.
• Typically at least 8 years of related experience.
• Ability to establish and maintain productive relationships with leaders, departments, organizational partners, and external parties.
• Strong organizational skills and ability to prioritize multiple simultaneous projects.
• Resourcefulness and ability to leverage internal relationships to obtain timely engagement.
• Bachelor's degree or equivalent work experience.
• Sufficient technical understanding to interpret audit requests, facilitate discussions between technical subject matter experts and external auditors, and identify potential gaps in audit evidence or responses.
• Must complete a background and drug screen.

Nice To Haves

• Knowledge of key financial-services laws, regulations, and guidance, typically gained through five or more years in a compliance or risk-management role.
• Compliance certification such as CCEP or CRCM, or a related degree.
• Ability to obtain PCI Internal Security Assessor (ISA) certification within the first year of employment.

Responsibilities

• Facilitate logistical support for regulatory examinations, including scheduling, meeting arrangements, building access, and equipment availability.
• Manage audits and regulatory examinations by coordinating and standardizing documentation across business lines, obtaining leadership approval, and ensuring timely submission to regulators or auditors.
• Track deliverables and evaluate materials for relevance, accuracy, and completeness against examination requests; provide guidance and revision recommendations when materials do not meet requirements.
• Identify and implement efficiencies across the Compliance Regulatory Relations Program, including supporting implementation of an examination-management application workflow.
• Compare controls, policies, procedures, work instructions, and other internal documentation with regulations and examination manuals, and work with relevant teams to submit self-identified issues when gaps are found.
• Review historical regulatory examinations, data requests, findings, and other external requests to support preparation and oversight activities.
• Review updates to policies, procedures, and systems; make recommendations based on regulatory requests and findings; and complete projects supporting regulators, auditors, and the compliance department.
• Develop and issue reporting to leadership.
• Support the company's risk-management commitment and protection of the integrity and confidentiality of systems and data.
• Facilitate technical and information security audits and assessments, including PCI DSS, SOC 2, and other applicable cybersecurity and technology-related regulatory examinations.
• Partner with Information Security, IT Infrastructure, Cybersecurity, and other technical teams to coordinate audits, evaluate supporting documentation, and ensure timely and accurate responses to auditor requests.

Benefits

• Medical coverage, including PPO and HDHP plans.
• Dental and vision plans.
• Company contributions to a Health Savings Account (HSA) or pre-tax flexible spending accounts for commuting, health, and dependent-care expenses.
• 401(k) plan with a 100% company Safe Harbor match on the first 6% deferred, immediately upon eligibility.
• Flexible Time Off for exempt employees and PTO for non-exempt employees.
• 11 paid company holidays and one paid volunteer day.
• 12 weeks of paid parental leave.
• Maven Family Planning support, including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and return-to-work support.
• Discretionary incentive plan.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior