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About the Role

This position is key to successful audit and exam outcomes for Early Warning Services (EWS). It is primarily responsible for managing and handling requests from external regulators, internal and external auditors, and Compliance by engaging and coordinating with key stakeholders. A key additional responsibility is proactively identifying controls and documentation that align with regulatory expectations, internal policy, and organizational best practices, ensuring their efficient archival and retrieval.

Responsibilities

Manage internal and external audits and regulatory exams, providing appropriate materials and coordinating across business lines to gather, standardize, and deliver documentation on time.
Ensure the relevance, accuracy, and completeness of provided materials against requests, offering guidance and revision recommendations.
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 in response to new or changed laws, regulations, or litigation learnings.
Assist in comparing controls, policies, procedures, work instructions, and other internally generated documentation to regulations and exam manuals, submitting self-identified issues.
Design and conduct audit readiness and preparedness activities to reduce audit findings.
Identify and support the documenting, structuring, updating, and archiving of materials likely to be requested for audits and exams, analyzing historic data to identify reuse opportunities.
Review updates to policies, procedures, and systems, making 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 the status of remediation work for exam and audit findings.
Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data.

Requirements

Must independently possess the eligibility to work in the United States for any employer at the date of hire.
Position is ineligible for employment Visa sponsorship.
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 fields.
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 the ability to prioritize multiple simultaneous projects.
Resourceful and able to leverage internal relationships to obtain quick engagement.
Bachelor’s degree or equivalent work experience.
Background and drug screen required.

Skills

Risk Management
Project Management
Organizational Skills
Communication Skills

Location

Phoenix, AZ
Chicago, IL
Washington, DC
New York, NY
San Francisco, CA

Work Type

Hybrid
Full-time

Experience Level

Lead
8+ years of related experience

Education Level

Bachelor's degree or equivalent work experience

Salary/Compensations

$104,000 - $130,000 (Phoenix, AZ/ Chicago, IL / Washington, DC)
$125,000 - $156,000 (New York, NY/ San Francisco, CA)

Benefits

Discretionary incentive plan
Competitive medical (PPO/HDHP), dental, and vision plans
Company contributions to Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA)
401(k) Retirement Plan with 100% Company Safe Harbor Match on first 6% deferral
Flexible Time Off for Exempt employees
Generous PTO for Non-Exempt employees
11 paid company holidays
Paid volunteer day
12 weeks of Paid Parental Leave
Maven Family Planning support

About the Company

Early Warning has powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle®, Paze®, and 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 provides technology that is critical to the US financial system, ensuring compliance to regulatory oversight is key to our success.

Equal Opportunity

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.