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We are an equal opportunity employer with a commitment to diversity. All individuals, regardless of personal characteristics, are encouraged to apply. All qualified applicants will receive consideration for employment without regard to age, race, color, national origin, ancestry, sex, sexual orientation, gender, gender identity, gender expression, marital status, pregnancy, religion, physical or mental disability, military or veteran status, genetic information, or any other status protected by applicable state or local law.
Regulatory Response Lead Specialist
Location
United States
Posted
44 days ago
Salary
$96.1K - $135.7K / year
Seniority
Senior
Job Description
Regulatory Response Lead Specialist
Empower
• Serve as the main contact for federal and state regulators, including the SEC, FINRA, and state agencies • Coordinate intake, tracking, and resolution of exams, inquiries, complaints, and record requests • Partner with Compliance and business teams to assign work, gather records, and meet deadlines • Draft and review regulatory responses, from routine to complex, including supporting documentation • Maintain organized records of all regulatory activity in systems like OnBase and SharePoint • Manage and track recurring and ad hoc regulatory filings to ensure timely completion • Build and improve processes and procedures for regulatory responses and filings • Monitor performance through metrics and reporting, identifying trends and areas for improvement
Job Requirements
- Bachelor’s degree or equivalent experience
- 8+ years of compliance or related experience, including direct interaction with regulators
- Working knowledge of securities and/or insurance regulations, with ability to research and apply requirements
- Experience managing multiple priorities with strict deadlines
- Strong written and verbal communication skills across technical and non-technical audiences
- Ability to collaborate effectively across teams and build productive working relationships
- Comfort using systems to track work, maintain records, and report outcomes
- Fingerprinting required
Benefits
- Medical, dental, vision and life insurance
- Retirement savings – 401(k) plan with generous company matching contributions (up to 6%)
- Tuition reimbursement up to $5,250/year
- Business-casual environment that includes the option to wear jeans
- Generous paid time off upon hire – including a paid time off program plus ten paid company holidays and three floating holidays each calendar year
- Paid volunteer time — 16 hours per calendar year
- Leave of absence programs – including paid parental leave, paid short- and long-term disability, and Family and Medical Leave (FMLA)
- Business Resource Groups (BRGs) – BRGs facilitate inclusion and collaboration across our business internally and throughout the communities where we live, work and play. BRGs are open to all.
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