At Early Warning, we’ve powered and protected the U.S. financial system for over thirty years with cutting-edge solutions like Zelle®, Paze®, and so much more. As a trusted name in payments, we partner with thousands of institutions to increase access to financial services and protect transactions for hundreds of millions of consumers and small businesses.

Early Warning follows a hybrid work model to allow for a more collaborative working environment.

Candidates responding to this posting must independently possess the eligibility to work in the United States, for any employer, at the date of hire. This position is ineligible for employment Visa sponsorship.

Overall Purpose

Manages and handles requests from auditors and external parties by engaging and coordinating with key stakeholders across the organization.  Proactively prepares for requests and audits by identifying controls and documentation that align with audit request, internal policies and procedures and organizational best practices.  Engages with auditors and external parties as required.

Essential Functions

• Provides logistical support for audits, including scheduling meetings, reserving conference rooms, sending out calendar invites, building access, and availability of equipment as needed.
• Manages and leads customer audits and responses, including but not limited to merchant and/or customer questionnaires, inquiries and findings.
• Supports team and stakeholder education and awareness by developing customer audit training materials, facilitating training, and by providing guidance and sharing best practices. 
• Coordinates and respond to new and existing customer requests for onsite audits and work across business lines to gather, coordinate and standardize requested documentation; obtain leadership approval; complete security, compliance or governance-related questionnaires.
• Tracks deliverables to ensure timely completion and evaluate provided materials for relevance, accuracy and completeness against request; provide guidance and revision recommendations for deliverables that are not aligned with sharing guidelines and internal policies and procedures.
• Monitors customer audit findings and follow up with stakeholders to ensure timely remediation and response.
• Reviews and analyzes historical audit and data requests, audit findings, and other external requests to support audit preparation activities and inform oversight activities.
• Ensures approved and current Annual Risk Report documentation is made available to customer assessors and manage the portal site groups/content.
• Continuously identifies and implements efficiencies across the Compliance Regulatory Relations Program, including supporting the implementation and use of an exam management application workflow.
• Assists in comparing controls, policies, procedures, work instructions, and other internally generated documentation to audit requirements, regulations, and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified
• Provides support by reviewing updates to policies, procedures, and systems based on audit requests and findings, and by completing projects in support of regulators, auditors and the compliance department
• Develops and issues reporting to leadership
• Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data

Minimum Qualifications

• Education and/or experience typically obtained through completion of a bachelor’s degree or equivalent work experience
• Experience actively participating in external audits (OCC, CFPB, PCI, SOC2, etc) including engagement with the external auditors
• Typically 8 or more years of related experience
• Ability to establish and maintain productive relationships between various leaders, departments and partners across the organization and externally.
• Strong organizational skills, including ability to prioritize multiple simultaneous projects.
• Resourceful and able to leverage internal relationships to obtain quick engagement.
• Background and drug screen

Preferred Qualifications

• Knowledge of key laws, regulations and guidance in the financial services industry typically gained through five or more years in a compliance or risk management role
• Compliance certification (CCEP, CRCM) or related degree

The above job description is not intended to be an all-inclusive list of duties and standards of the position.  Incumbents will follow instructions and perform other related duties as assigned by their supervisor.

Physical Requirements

Working conditions consist of a normal office environment.  Work is primarily sedentary and requires extensive use of a computer and involves sitting for periods of approximately four hours.  Work may require occasional standing, walking, kneeling, and reaching.  Must be able to lift 10 pounds occasionally and/or negligible amount of force frequently.  Requires visual acuity and dexterity to view, prepare, and manipulate documents and office equipment including personal computers.  Requires the ability to communicate with internal and/or external customers.

Employee must be able to perform essential functions and physical requirements of position with or without reasonable accommodation.

The base pay scale for this position in:
Phoenix, AZ/ Chicago, IL / Washington, DC in USD per year is: $104,000 - $130,000.

Additionally, candidates are eligible for a discretionary incentive plan and benefits.

This pay scale is subject to change and is not necessarily reflective of actual compensation that may be earned, nor a promise of any specific pay for any specific candidate, which is always dependent on legitimate factors considered at the time of job offer. Early Warning Services takes into consideration a variety of factors when determining a competitive salary offer, including, but not limited to, the job scope, market rates and geographic location of a position, candidate’s education, experience, training, and specialized skills or certification(s) in relation to the job requirements and compared with internal equity (peers). The business actively supports and reviews wage equity to ensure that pay decisions are not based on gender, race, national origin, or any other protected classes.

Some of the Ways We Prioritize Your Health and Happiness 

•  Healthcare Coverage – Competitive medical (PPO/HDHP), dental, and vision plans as well as company contributions to your Health Savings Account (HSA) or pre-tax savings through flexible spending accounts (FSA) for commuting, health & dependent care expenses.

• 401(k) Retirement Plan – Featuring a 100% Company Safe Harbor Match on your first 6% deferral immediately upon eligibility.

• Paid Time Off – Flexible Time Off for Exempt (salaried) employees, as well as generous PTO for Non-Exempt (hourly) employees, plus 11 paid company holidays and a paid volunteer day.

• 12 weeks of Paid Parental Leave

• Maven Family Planning – provides support through your Parenting journey including egg freezing, fertility, adoption, surrogacy, pregnancy, postpartum, early pediatrics, and returning to work.

And SO much more! We continue to enhance our program, so be sure to check our Benefits page here for the latest. Our team can share more during the interview process!

Early Warning Services, LLC (“Early Warning”) considers for employment, hires, retains and promotes qualified candidates on the basis of ability, potential, and valid qualifications without regard to race, religious creed, religion, color, sex, sexual orientation, genetic information, gender, gender identity, gender expression, age, national origin, ancestry, citizenship, protected veteran or disability status or any factor prohibited by law, and as such affirms in policy and practice to support and promote equal employment opportunity and affirmative action, in accordance with all applicable federal, state, and municipal laws. The company also prohibits discrimination on other bases such as medical condition, marital status or any other factor that is irrelevant to the performance of our employees. 

Early Warning Services LLC is a proud participant in E-Verify, a federal program to help ensure a legal and authorized workforce. As part of our hiring process, we electronically verify the employment eligibility of all new hires through E-Verify. For more information on your rights and responsibilities under E-Verify please visit Home | E-Verify.