Lead First Line Risk Management, Technology

Early Warning Services LLC; Scottsdale (AZ); Hybrid; USD 104,000 - 156,000; Full time

Benefits offered by this job

Healthcare Coverage

401(k) Retirement Plan

Paid Time Off

12 weeks Paid Parental Leave

Maven Family Planning

Job summary

Early Warning Services, LLC is seeking a Lead First Line Risk Management, Technology to coordinate audits, exams, and regulatory responses. You will engage stakeholders, identify control gaps, and ensure documentation aligns with regulatory expectations.

The role emphasizes audit readiness and proactive risk management in a technology-focused environment. The position requires experience with external exams, strong knowledge of financial services regulations, and collaboration across departments

Qualifications

• Five years' experience leading external exams and audits (OCC, CFPB, PCI DSS, SOC2, etc.) and internal audits.
• Knowledge of laws, regulations, frameworks in financial services.
• Experience with GRC and workflow tools.

Responsibilities

• Manage internal and external audits and regulatory exams across business lines.
• Ensure materials are complete, accurate, and meet regulatory requirements.
• Identify efficiencies and coordinate program improvements with Compliance.
• Support changes in processes and documentation as laws evolve.

Skills

Audits & exams leadership

Regulatory compliance

IT governance & risk management

Regulatory frameworks knowledge

Stakeholder management

Education

Bachelor’s degree or equivalent

Tools

Onspring

Jira

ServiceNow

Job description

At Early Warning, we've powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle, Paze, and so much more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses.

Early Warning follows a hybrid work model to allow for a more collaborative working environment.

Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment Visa sponsorship.

The Lead First Line Risk Management, Technology will report to the Director, First Line Risk Management, Technology and provide support for exams, audits and assessments that include and impact technology, requiring coordination across multiple technology departments. Early Warning provides technology that is critical to the US financial system and as such ensuring our compliance to regulatory oversight is key to our success.

Overall Purpose

This position is key to successful audit and exam outcomes for EWS. It is primarily responsible for the managing and handling of requests from external regulators, internal and external auditors, and Compliance by engaging and coordinating with key stakeholders in the business line you support and across the organization. A key additional responsibility is proactively identifying controls and documentation that align with regulatory expectations, internal policy and organizational best practices and ensuring their efficient archival and retrieval.

Essential Functions

• Manage internal and external audits and regulatory exams: suggest/provide appropriate materials; work across business lines to gather, coordinate and standardize documentation; obtain leadership approval; monitor to ensure on time delivery of documentation to regulatory agency or auditor.
• Ensure relevance, accuracy, and completeness of provided materials against requests; provide guidance and revision recommendations for deliverables that are not meeting requirements
• Continuously identify and implement efficiencies in coordination with the Compliance Regulatory Relations Program
• Work with Compliance and the Business to implement program, process, and/or documentation changes when laws or regulations are introduced or changed, as well as when there are learnings from external litigation
• Assist in comparing controls, policies, procedures, work instructions, and other internally generated documentation to regulations and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified
• Design and conduct audit readiness and audit preparedness activities in advance of internal and external audits, to reduce the number of audit findings
• Identify and support the documenting, structuring, updating, and archiving of materials that will likely be requested for audits and exams; review and analyze historic audit and exam data requests, findings, and other information; identify opportunities to reuse materials.
• Review updates to policies, procedures, and systems, make recommendations based on regulatory and audit/exam requests and findings
• Complete projects in support of regulators, auditors, and the compliance department
• Regularly report status to leadership including any issues
• Track and report status of remediation work by owners of exam and audit findings
• Support the company's commitment to risk management and protecting the integrity and confidentiality of systems and data

Minimum Qualifications

• Five years' experience actively leading external exams and audits (OCC, CFPB, PCI DSS, SOC2, etc.), and internal audits
• Experience in security, governance, risk management, IT audit, information technology, or related
• Knowledge of key laws, regulations, frameworks (including the Cyber Risk Institute (CRI) framework) and guidance in the financial services industry
• Experience with Onspring, Jira, Service Now or other GRC and workflow tools
• 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 and project management skills, including ability to prioritize multiple simultaneous projects.
• Resourceful and able to leverage internal relationships to obtain quick engagement.
• Education and/or experience typically obtained through completion of a bachelor's degree or equivalent work experience
• Background and drug screen

Preferred Qualifications

• Knowledge of key laws, regulations, frameworks, and guidance in the financial services industry typically gained through five or more years in a compliance or risk management role
• Certification as a Certified Information Systems Auditor (CISA) or prior GRC, Information Security & Technology Consulting, or Advisory experience with leading consulting firms such as KPMG, Deloitte, E&Y, PWC is highly desirable.

Physical Requirements

Working conditions consist of a normal office environment. Work is primarily sedentary and requires extensive use of a computer and involves sitting for periods of approximately four hours. Work may require occasional standing, walking, kneeling, and reaching. Must be able to lift 10 pounds occasionally and/or negligible amount of force frequently. Requires visual acuity and dexterity to view, prepare, and manipulate documents and office equipment including personal computers. Requires the ability to communicate with internal and/or external customers. Employee must be able to perform essential functions and physical requirements of position with or without reasonable accommodation.

Candidates responding to this posting must independently possess the eligibility to work in the United States at the date of hire.

The above job description is not intended to be an all-inclusive list of duties and standards of the position.

The base pay scale for this position in:
Phoenix, AZ/ Chicago, IL / Washington, DC in USD per year is: $104,000 - $130,000.
New York, NY/ San Francisco, CA in USD per year is: $125,000 - $156,000.

Additionally, candidates are eligible for a discretionary incentive plan and benefits.

Some of the Ways We Prioritize Your Health and Happiness

• Healthcare Coverage-Competitive medical (PPO/HDHP), dental, and vision plans as well as company contributions to your Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA) for commuting, health & dependent care expenses.
• 401(k) Retirement Plan-Featuring a 100% Company Safe Harbor Match on your first 6% deferral immediately upon eligibility.
• Paid Time Off -Flexible Time Off for Exempt (salaried) employees, as well as generous PTO for Non-Exempt (hourly) employees, plus 11 paid company holidays and 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.

AndSOmuch more! We continue to enhance our program, so be sure tocheck our Benefits page herefor the latest. Ourteamcan share more during the interview process!

Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.

Early Warning Services, LLC ("Early Warning") considers for employment, hires, retains and promotes qualified candidates on the basis of ability, potential, and valid qualifications without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote equal employment opportunity and affirmative action, in accordance with all applicable federal, state, and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our employees.