Lead Regulatory Relations

Early Warning; Scottsdale (AZ); Híbrido; USD 104.000 - 130.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Healthcare coverage

401k match

Paid time off

Parental leave

Family planning

Descripción de la vacante

Early Warning, a leading player in payments infrastructure, seeks a seasoned regulatory compliance professional to manage external regulator/auditor requests. You will coordinate across stakeholders, prepare documentation, and ensure timely responses while improving exam processes and controls.

The role emphasizes collaboration with Information Security, IT, and cyber teams, ensuring policy alignment and robust audit readiness across multiple regulatory regimes.

Formación

• Experience with external audits (OCC, CFPB, PCI, SOC2) & engagement with auditors.
• Working knowledge of technology infrastructure, systems, and information security terms.
• Typically a minimum of 8+ years of related experience.
• Ability to build relationships across leaders, departments and external partners.
• Strong organizational skills with the ability to prioritize multiple projects.
• Resourceful and able to leverage internal relationships for quick engagement.
• Bachelor’s degree or equivalent work experience.
• Explain audit requests clearly and identify gaps in audit evidence or responses.

Responsabilidades

• Coordinate and support regulatory exams logistics.
• Gather, coordinate and standardize exam documentation.
• Monitor timely delivery of exam documentation to regulators.
• Identify efficiencies in the Compliance Regulatory Relations program.
• Review policies, procedures and systems for regulatory alignment.
• Review historical exam data and support exam preparation activities.
• Provide reporting to leadership and support risk management.
• Coordinate audit activities with IT and security teams.

Conocimientos

External audits

Tech infrastructure

Organizational skills

Relationship building

Bachelor’s degree

Educación

Bachelor’s degree or equivalent

Herramientas

Audit management software

Descripción del empleo

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.

Overall Purpose

This position is responsible for the managing and handling requests from external regulators and auditors by engaging and coordinating with key stakeholders across the organization. Proactively prepare for requests and exams by identifying controls and documentation that align with regulatory expectations and organizational best practices. Engage with regulators and auditors as required.

Essential Functions

• Facilitate and provide logistical support for regulatory exams, including scheduling meetings, reserving conference rooms, sending out calendar invites, building access, and availability of equipment as needed.
• Manage audits and regulatory exams; work across business lines to gather, coordinate and standardize regulatory exam documentation; obtain leadership approval; monitor to ensure on time delivery of exam documentation to regulatory agency or auditor.
• Track deliverables to ensure timely completion and evaluate provided materials for relevance, accuracy and completeness against exam requests; provide guidance and revision recommendations for deliverables that are not meeting requirements
• Continuously identify and implement efficiencies across the Compliance Regulatory Relations Program, including supporting the implementation of an exam management application workflow.
• 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
• Review and analyze historical regulatory exam and data requests, exam findings, and other external requests to support exam preparation activities and inform oversight activities.
• Provide support by reviewing updates to policies, procedures, and systems making recommendations based on regulatory and exam requests and findings, and by completing projects in support of regulators, auditors and the compliance department
• Develop and issue reporting to leadership
• Support the company’s commitment to risk management and protecting 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 audit activities, evaluate supporting documentation, and ensure timely and accurate responses to auditor requests.

Minimum Qualifications

• Experience actively participating in external audits (OCC, CFPB, PCI, SOC2, etc) including engagement with the external auditors
• Working knowledge of technology infrastructure and systems, and information security terms and practices.
• Typically a minimum of 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.
• Education and/or experience typically obtained through completion of a Bachelor’s degree or equivalent work experience
• Demonstrate 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.
• Background and drug screen

Preferred Qualifications

• 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
• Ability to obtain PCI Internal Security Assessor (ISA) certification within first year of employment.

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.

The Base Pay Scale For This Position In

Phoenix, AZ/ Chicago, IL / Washington, DC in USD per year is: $104,000 - $130,000.

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

This pay scale is subject to change and is not necessarily reflective of actual compensation that may be earned, nor a promise of any specific pay for any specific candidate, which is always dependent on legitimate factors considered at the time of job offer. Early Warning Services takes into consideration a variety of factors when determining a competitive salary offer, including, but not limited to, the job scope, market rates and geographic location of a position, candidate’s education, experience, training, and specialized skills or certification(s) in relation to the job requirements and compared with internal equity (peers). The business actively supports and reviews wage equity to ensure that pay decisions are not based on gender, race, national origin, or any other protected classes.

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.

And SO much more! We continue to enhance our program, so be sure to check our Benefits page here for the latest. Our team can share more during the interview process!

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.

Early Warning Services LLC is a proud participant in E-Verify, a federal program to help ensure a legal and authorized workforce. As part of our hiring process, we electronically verify the employment eligibility of all new hires through E-Verify. For more information on your rights and responsibilities under E-Verify please visit Home | E-Verify.