Lead Regulatory Relations

Early Warning® • Scottsdale, AZ

7d • $104,000 - $130,000 • Hybrid

About The Position

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

The position facilitates regulatory exams and audits, coordinates and reviews documentation across business lines, tracks deliverables, and helps ensure timely, accurate, and complete responses. It also supports improvements to the Compliance Regulatory Relations Program, evaluates internal documentation against regulations and examination manuals, analyzes historical requests and findings, provides reporting to leadership, and supports risk management and the protection 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 respond to auditor requests. 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, with eligibility for a discretionary incentive plan and benefits.

Requirements

• Experience actively participating in external audits, such as OCC, CFPB, PCI, or SOC 2 audits, 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, and partners across the organization and externally.
• Strong organizational skills, including the 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 and provide logistical support for regulatory examinations, including scheduling meetings, arranging conference rooms, sending calendar invitations, arranging building access, and ensuring equipment availability.
• Manage audits and regulatory examinations; coordinate and standardize documentation across business lines, obtain leadership approval, and monitor timely delivery to regulators or auditors.
• Track deliverables and evaluate materials for relevance, accuracy, and completeness against examination requests; provide guidance and revision recommendations when needed.
• Identify and implement efficiencies in 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; work with the appropriate team to submit self-identified issues concerning identified gaps.
• Review and analyze historical regulatory examinations, data requests, findings, and other external requests to support preparation and oversight activities.
• Review updates to policies, procedures, and systems and recommend changes based on regulatory requests and findings; complete projects supporting regulators, auditors, and the Compliance department.
• Develop and issue reports to leadership.
• Support the company's risk-management commitments 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

• Competitive medical plans (PPO/HDHP), dental insurance, and vision insurance.
• Company contributions to a Health Savings Account (HSA) or pre-tax savings through flexible spending accounts for commuting, health, and dependent-care expenses.
• 401(k) retirement 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 a paid volunteer day.
• 12 weeks of paid parental leave.
• Maven Family Planning support, including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.
• Eligibility for a discretionary incentive plan.

What This Job Offers

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