Regulatory Response Lead Specialist (Compliance)

TL;DR

Regulatory Response Lead Specialist (Compliance): Managing interactions with securities and insurance regulators to ensure accurate and timely responses to examinations and inquiries with an accent on regulatory filings and compliance oversight. Focus on drafting complex regulatory responses, coordinating cross-functional data gathering, and improving operational processes for regulatory tracking.

Location: Remote (Must be based in the US)

Salary: $96,100 – $135,700

Company

A financial services company dedicated to helping customers achieve financial freedom through retirement and investment solutions.

What you will do

• Serve as the primary point of contact for federal and state regulators, including the SEC and FINRA.
• Coordinate the intake, tracking, and resolution of examinations, inquiries, complaints, and record requests.
• Draft and review routine to complex regulatory responses and associated supporting documentation.
• Manage and track recurring and ad hoc regulatory filings to ensure timely completion.
• Design and improve operational processes and procedures for regulatory responses.
• Monitor performance through metrics and trend analysis to report outcomes to senior leadership.

Requirements

• Bachelor’s degree or equivalent professional experience.
• 8+ years of compliance or related experience, including direct interaction with regulators.
• Working knowledge of securities and/or insurance regulations.
• Must be authorized to work for any employer in the U.S. (No sponsorship available).
• Strong written and verbal communication skills for technical and non-technical audiences.
• Ability to pass a fingerprinting background check.

Nice to have

• Previous experience working for a regulator in an examination or investigation role.
• Familiarity with broker-dealer, investment adviser, or insurance regulatory frameworks.
• Experience producing metrics and reporting for boards or senior leadership.

Culture & Benefits

• Medical, dental, vision, and life insurance.
• 401(k) plan with company matching contributions up to 6%.
• Tuition reimbursement up to $5,250 per year.
• Generous paid time off, including company holidays and floating holidays.
• 16 hours of paid volunteer time per calendar year.
• Paid parental leave and comprehensive disability programs.