Regulatory Response Lead Specialist

This is a fully remote position, open to applicants in United States.

📋 Description

• Act as the primary liaison for federal and state regulatory bodies, including the SEC, FINRA, and various state agencies.

• Oversee the intake, monitoring, and resolution of examinations, inquiries, complaints, and document requests.

• Collaborate with Compliance and business units to allocate tasks, collect necessary records, and adhere to deadlines.

• Compose and review regulatory submissions, ranging from straightforward to intricate, along with accompanying documentation.

• Keep systematic records of all regulatory activities within platforms such as OnBase and SharePoint.

• Administer and oversee both periodic and one-off regulatory filings to guarantee timely submissions.

• Develop and refine processes and procedures for regulatory submissions and responses.

• Track performance through metrics and reporting, pinpointing trends and opportunities for enhancement.

⛳️ Requirements

• Bachelor’s degree or equivalent experience is required.

• A minimum of 8 years in compliance or a related field, with direct engagement with regulators.

• Proficient understanding of securities and/or insurance regulations, with the ability to research and implement requirements.

• Demonstrated experience in managing multiple priorities under stringent deadlines.

• Exceptional written and verbal communication skills, suitable for both technical and non-technical audiences.

• Capability to work collaboratively across teams and cultivate productive professional relationships.

• Proficiency in utilizing systems for tracking work, maintaining records, and reporting results.

• Fingerprinting is a requirement.

🏝️ Benefits

• Medical, dental, vision, and life insurance coverage.

• Retirement savings options through a 401(k) plan with substantial company matching contributions (up to 6%).

• Access to financial advisory services.

• Possibility of company discretionary contributions.

• A wide range of investment options.

• Tuition reimbursement available up to $5,250 per year.

• A business-casual work environment that allows for jeans.

• Generous paid time off upon hiring, which includes a paid time off program, ten paid company holidays, and three floating holidays each year.

• Paid volunteer time totaling 16 hours per calendar year.

• Leave of absence programs, which include paid parental leave, short- and long-term disability, and Family and Medical Leave (FMLA).

• Business Resource Groups (BRGs) that promote inclusion and collaboration across our organization and within the communities we inhabit, work, and engage in leisure activities. All employees are welcome to join BRGs.