Exam and Audit Support Manager

Come build the next-gen fintech at Early Warning, network operator of Zelle®, where we’re relentlessly focused on empowering prosperity in all its forms.
From fast money movement for over 100 million people who can access Zelle® directly through their banking app to new account opening and beyond – we make a difference in the lives of consumers and businesses every day and enable them to live their best financial lives.
And we’re only getting started.
With new state-of the-art offices in Scottsdale, AZ (Headquarters) and Chicago, IL – plus a growing presence in San Francisco – we’re entering our next big chapter.
People matter to us, so we think our best work is done when we’re together, in-person.
From informal interactions, to sharing ideas, to mentoring and beyond.
We also believe in workplace flexibility and empowering teams to determine the rhythm of work to create an inclusive culture.
Through the power of innovative collaboration, we offer hybrid and (when necessary) virtual (“remote”) workplace models.
We focus all hiring efforts in a few states and within driving distance of an office location to enable in-person collaboration when and where possible.
Priority hiring locations are Scottsdale, AZ, Illinois, NY tri-state metro area (New Jersey, New York and Connecticut) and San Francisco, CA.
On exception we will hire in secondary locations such as District of Columbia, Florida, Georgia, Maryland, Nevada, North Carolina, South Carolina, Texas and Virginia.
We are not actively recruiting in Colorado, Rhode Island or Washington.
Join us and make your mark on what’s next in fintech.
*Applicants must be authorized to work for any employer in the United States.
We are unable to sponsor an employment Visa for this position.
Overall Purpose This position is key to successful audit and exam outcomes for EWS.
It is primarily responsible for the managing and handling of requests from external regulators, internal and external auditors, and Compliance by engaging and coordinating with key stakeholders in the business line you support and across the organization.
A key additional responsibility is proactively identifying controls and documentation that align with regulatory expectations, internal policy and organizational best practices and ensuring their efficient archival and retrieval.
Essential Functions Manage internal and external audits and regulatory exams: suggest/provide appropriate materials; work across business lines to gather, coordinate and standardize documentation; obtain leadership approval; monitor to ensure on time delivery of documentation to regulatory agency or auditor.
Ensure relevance, accuracy and completeness of provided materials against requests; provide guidance and revision recommendations for deliverables that are not meeting requirements Continuously identify and implement efficiencies in coordination with the Compliance Regulatory Relations Program Work with Compliance and the Business to implement program, process and/or documentation changes when laws or regulations are introduced or changed, as well as when there are learnings from external litigation Assist in comparing controls, policies, procedures, work instructions, and other internally generated documentation to regulations and exam manuals; work with the appropriate team to submit self-identified issues relative to any gap identified Proactively prepare for future exams and audits: Identify and support the proactive documenting, structuring, updating and archiving of materials that will likely be requested for audits and exams; review and analyze historic audit and exam data requests, findings, and other information; identify opportunities to reuse materials.
Review updates to policies, procedures, and systems, make recommendations based on regulatory and audit/exam requests and findings Complete projects in support of regulators, auditors and the compliance department Regularly report status to leadership including any issues Track and report status of remediation work by owners of exam and audit findings Support the company’s commitment to risk management and protecting the integrity and confidentiality of systems and data Minimum Qualifications Five years experience actively participating in external exams and audits (OCC, CFPB, PCI, SOC2, etc) including engagement with the external auditors Deep subject matter knowledge of business area supported: Fraud Risk Management, Consumer Servicing, Technology, or HR and Finance.
7 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.
Education and/or experience typically obtained through completion of a Bachelor’s degree or equivalent work experience Background and drug screen Preferred Qualifications Knowledge of key laws, regulations, frameworks 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 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 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.
The pay scale for this position in: Phoenix, AZ/ Chicago, IL in USD per year is: $110,000 - $130,000.
New York, NY/ San Francisco, CA in USD per year is: $120,000 - $140,000.
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.
Additionally, candidates are eligible for a discretionary bonus, and benefits.
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 – Unlimited 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! Pursuant to the San Francisco Fair Chance Ordinance, we will consider for employment qualified applicants with arrest and conviction records.
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.