Compliance Response Specialist I

United StatesRemoteFull-timemid

Legal & ComplianceCompliance

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Quick Summary

Requirements Summary

Bachelor’s degree or equivalent combination of education and experience. At least 2 years of relevant experience in compliance, risk management, regulatory affairs,

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Legal & ComplianceCompliance

This role supports the administration and execution of compliance response activities across a fast-paced financial services environment.
You’ll help manage matters ranging from complaints and regulatory examinations to audit inquiries, issue remediation, and business escalations.
Working cross-functionally, you’ll coordinate stakeholders, track actions, and help ensure responses are accurate, timely, and well documented.
The position provides hands-on exposure to regulatory expectations, compliance controls, root cause analysis, and remediation processes.
You’ll also contribute to reporting, trend analysis, process improvements, and initiatives designed to strengthen the broader compliance framework.
Success in this role requires strong organization, attention to detail, communication skills, and the ability to manage deadlines and changing priorities.
This is a remote opportunity with a collaborative environment and opportunities to develop expertise across compliance and risk management.

Support compliance response workflows from initial intake and stakeholder engagement through investigation, remediation, and final closure.
Coordinate with the Compliance Response Manager and business partners to ensure compliance matters are handled accurately and within established timelines.
Assist with preparing responses to regulatory examination requests, audit inquiries, consumer complaints, legal or business escalations, and other compliance-related requests.
Gather, analyze, and synthesize information from multiple stakeholders into clear, complete, and accurate response materials.
Track corrective actions and remediation commitments, monitor deadlines, validate supporting evidence, and confirm that agreed actions have been completed.
Serve as a point of contact for business partners, regulators, and third parties when appropriate, coordinating follow-ups and clarifying expectations.
Conduct root cause analysis to identify underlying compliance issues and support improvements to controls, processes, and the overall compliance framework.
Contribute to compliance response reporting through meaningful metrics, trend analysis, and monitoring of recurring issues.
Build productive relationships across business functions and promote awareness of regulatory expectations and proactive compliance practices.
Monitor relevant regulations, industry practices, and changes in applicable laws to support ongoing compliance activities.
Contribute to procedure updates, process improvements, and efficiency initiatives within compliance response operations.
Maintain accurate documentation and records while handling sensitive compliance information with appropriate care and confidentiality.
Meet deadlines, respond constructively to changing priorities, follow management direction, and maintain consistent accuracy in a deadline-driven environment.

Requirements

~2 min read

Bachelor’s degree or equivalent combination of education and experience.
At least 2 years of relevant experience in compliance, risk management, regulatory affairs, or a related function within financial services.
Experience interacting with regulatory agencies, responding to legal or regulatory requests, or managing remediation activities is preferred.
Knowledge of compliance response processes, issue management, remediation, regulatory requirements, or financial-services controls is highly valuable.
Strong analytical and problem-solving skills, including the ability to investigate issues and identify potential root causes.
Excellent written and verbal communication skills, with the ability to synthesize complex information into clear and professional deliverables.
Strong organizational and follow-up skills, with the ability to coordinate multiple stakeholders, deadlines, and compliance activities simultaneously.
High attention to detail and a demonstrated ability to maintain accuracy when working under time constraints.
Ability to build effective working relationships with business partners and collaborate across multiple organizational functions.
Comfortable taking direction while also demonstrating initiative and accountability for assigned work.
Ability to adapt productively to changing requirements, priorities, and business circumstances.
Proficiency with Microsoft Office applications and the ability to learn role-specific technology and systems.
Ability to work effectively in a remote environment and maintain reliable communication with colleagues and stakeholders.
Ability to perform work involving extended periods of sitting, typing, and telephone or virtual communication.

What We Offer

~2 min read

✓Salary: $60,000–$70,000 per year.

✓Remote work: Flexible remote work environment, subject to applicable state residency requirements.

✓Healthcare: Medical, dental, and vision coverage available from day one.

✓Flexible spending: Access to HSA and FSA options.

✓Retirement: 401(k) plan with company match, with enrollment available from day one.

✓Paid time off: Paid time off, sick leave, and volunteer time off.

✓Family support: Paid parental leave options.

✓Insurance: Employer-paid life and disability insurance.

✓Wellbeing: Wellbeing on Demand program supporting employee health and wellness.

✓Work environment: Flexible workplace with a casual dress code.

✓Professional development: Opportunities to build experience across compliance, regulatory response, risk management, remediation, and financial services.

✓Remote eligibility: Remote positions are available to employees residing in eligible U.S. states.