Regulatory Response Lead Specialist

About the role

As a Regulatory Response Lead Specialist, you will serve as the primary point of contact with securities and insurance regulators, helping the business respond clearly, accurately, and on time. You’ll sit within Compliance and partner across teams to manage examinations, inquiries, complaints, and required filings. Your work supports transparency, protects customers, and strengthens trust with regulators. You’ll also help improve how we track, respond to, and learn from regulatory activity.

Responsibilities

• Serve as the main contact for federal and state regulators, including the SEC, FINRA, and state agencies
• Cook up 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

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
• Able to collaborate effectively across teams and build productive working relationships
• Comfort using systems to track work, maintain records, and report outcomes
• Fingerprinting required

Qualifications

• Experience working for a regulator in an examination or investigation role
• Familiarity with broker-dealer, investment adviser, or insurance regulatory frameworks
• Experience preparing responses for regulatory exams, complaints, or enforcement inquiries
• Ability to design and improve operational processes with a focus on clarity and efficiency
• Experience producing metrics, trend analysis, and reporting for senior leadership or boards
• Strong attention to detail when managing documentation and regulatory records
• Confidence communicating with senior leaders and external regulatory contacts
• Experience contributing to regulatory or compliance reporting at an enterprise level

Skills

• Excellent communication skills
• Strong organizational and prioritization skills
• Detail-oriented with strong analytical skills
• Ability to work independently and collaboratively
• Proficiency in Microsoft Office Suite

Benefits

• Medical, dental, vision and life insurance
• Roth and Traditional 401(k) plans 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.

Pay

Base Salary Range: $96,100.00 - $135,700.00

Schedule

Remote - Nationwide