Regulatory Policy Specialist developing regulatory case filings and strategies supporting company goals at Xcel Energy. Collaborating with stakeholders and senior management to ensure compliance and effective communication.
About the role
- Vice President overseeing regulatory reporting and risk management at BNY Investments. Focus on compliance, continuous improvement, and collaboration with technology teams for automation.
Responsibilities
- Responsible for supporting the identification and preparation of Substantial Shareholder disclosures and various regulatory reports on a global basis; including requisite data analysis, aggregation and quality control.
- Coordinates with Regulatory SMEs in implementing and effectively operationalizing requirements driven by Regulator / legislative updates.
- Prepares/Oversees a variety of securities related risk management reports for Senior Management including ad hoc and monthly reporting.
- Performs and oversees data management, quality control and investigative research in support of regulatory reporting.
- Communicates with internal and external parties, domestically and internationally, on data enhancement and reconciliation.
- Drives continuous improvement, coordinating with the technology team on automation/enhancement of various processes and reports.
- Ability to leverage AI to streamline and modernize workflows.
- Leads and supports projects and ensures they are completed timely and accurately.
- Oversees and makes recommendations on necessary procedural/control changes.
- Serves as a point of escalation for complex reporting matters; coordinates timely responses and maintains strong stakeholder confidence.
- Provides guidance, coaching and leadership support to team members and contributes to the achievement of team objectives.
Requirements
- Bachelors degree or the equivalent combination of education and experience is required.
- Advanced/graduate degree preferred. 5-8 years of total work experience preferred.
- Proficient with MS Excel required and programming knowledge a plus.
- Knowledge of the Financial Services Industry required.
- Strong collaborative skills are preferred to work in this collegial team environment.
- Strong communication skills, problem-solving and basic project management abilities required.
- Prior operational and regulatory experience a plus.
Benefits
- highly competitive compensation
- benefits
- wellbeing programs rooted in a strong culture of excellence
- paid leaves
- paid volunteer time
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