Regulatory Response Lead Specialist

Responsibilities

• 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

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
• What will set you apart
• 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
• ***Applicants must be authorized to work for any employer in the U.S. We are unable to sponsor or take over sponsorship of an employment visa at this time, including CPT/OPT.***
• What we offer you
• We offer an array of diverse and inclusive benefits regardless of where you are in your career. We believe that providing our employees with the means to lead healthy balanced lives results in the best possible work performance.
• Medical, dental, vision and life insurance
• Retirement savings - 401(k) plan with generous company matching contributions (up to 6%), financial advisory services, potential company discretionary contribution, and a broad investment lineup
• 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.
• Base Salary Range
• $96,100.00 - $135,700.00

Benefits

Additional Information

Our vision for the future is based on the idea that transforming financial lives starts by giving our people the freedom to transform their own. We have a flexible work environment, and fluid career paths. We not only encourage but celebrate internal mobility. We also recognize the importance of purpose, well-being, and work-life balance. Within Empower and our communities, we work hard to create a welcoming and inclusive environment, and our associates dedicate thousands of hours to volunteering for causes that matter most to them. Chart your own path and grow your career while helping more customers achieve financial freedom. Empower Yourself. 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.

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