Regulatory Lead

Requirements

• Masters degree in Finance, Law, Business, or a related field (advanced degree preferred)
• Significant experience (typically 8–12+ years) in compliance, regulatory affairs, audit, or risk management within financial services
• Proven experience managing regulatory inspections or audits in a technology-related context
• Strong understanding of financial services regulations and supervisory processes
• Experience interacting directly with regulators is an asset
• Excellent project management and organizational skills
• Strong stakeholder management and influencing abilities
• Exceptional written and verbal communication skills
• High attention to detail and quality assurance mindset
• Ability to work under pressure and manage multiple priorities
• Sound judgment and ability to handle sensitive/confidential information
• Analytical thinking with a proactive, solution-oriented approach

At Swift, we are dedicated to building a workplace where people can bring their full selves and ideas to the team, so if you are excited about this role, we encourage you to apply even if you do not meet every single qualification.

• Regulatory Enquiries Management
• Lead end-to-end coordination of regulatory questionnaires, inspections, and supervisory reviews
• Act as the primary point of contact for the business during reviews and inspections
• Develop project management plans, including timelines, document requests, and stakeholder coordination
• Ensure accurate, consistent, and timely responses to regulatory requests
• Stakeholder Coordination
• Partner with the business, Compliance, Legal, Risk and Internal Audit to gather required information
• Prepare and facilitate senior management on inspection scope, risks, and progress
• Coordinate internal preparatory meetings and walkthroughs with regulators
• Coach the business on how to present to regulators and senior board audiences
• Documentation & Response Oversight
• Review and challenge materials submitted to regulators for completeness, accuracy, and clarity
• Maintain a centralized repository of regulatory requests, responses, and supporting documentation
• Ensure alignment of responses with regulatory expectations and internal policies, in close collaboration with compliance, oversight affairs, legal, etc
• Issue Management & Remediation
• Track regulatory findings, observations, and recommendations
• Coordinate development of remediation plans with accountable owners
• Monitor progress and ensure timely closure of regulatory actions
• Prepare status updates and reports for senior leadership and governance committees
• Regulatory Relationship Management
• Support the development of a constructive and transparent relationship with regulators in close collaboration with Regulatory Affairs and Compliance
• Stay informed of regulatory priorities, trends, and emerging risks
• Advise internal stakeholders on regulatory expectations and best practices
• Continuous Improvement
• Identify opportunities to improve readiness processes and controls for onsite reviews and quarterly regulatory meetings
• Lead post-onsite reviews to capture lessons learned
• Enhance frameworks for regulatory engagement, documentation, and governance together with Oversight Affairs and Compliance
• Key Performance Indicators (KPIs)
• Timeliness and quality of regulatory responses
• Successful coordination and execution of inspections
• Closure rate and timeliness of remediation actions
• Effectiveness of inspection readiness and governance processes