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
- Compliance Officer providing regulatory compliance support within the asset services business line. Managing compliance frameworks and guiding risk owners on regulatory obligations.
Responsibilities
- Assist with or lead end-to-end analysis, planning, coordination and management of a small to medium project or a component of a large project
- Assist with the execution of the compliance framework to ensure State Street meets its legal and regulatory obligations including program health assessments, internal controls testing, and governance reporting
- Escalate regulatory issues and monitor for product launches and/or changes in business models for assigned areas to ensure that compliance programs reflect such developments and the accompanying legal requirements
- Work with Compliance colleagues to provide guidance to risk owners on the substance of regulatory obligations in order for them to understand the obligations and standards expected by regulators to build scalable controls to mitigate and monitor risk
- Participate in the development of corrective action plans to effectively manage change and improve processes and procedures, as necessary, to mitigate risk exposure
- Foster a positive culture of compliance by working proactively with the Business (especially Investment Services and Custody), Operations, Risk and Controls functions, and other Compliance professionals to ensure that best practices and systems are in place to facilitate State Street business growth and the overall success in accordance with applicable laws, rules, regulations and internal policy
- Provide project management support on compliance-related projects and initiatives, as requested, to ensure success in alignment with agreed timelines and goals
Requirements
- Bachelor’s Degree
- Experience in project management
- Relevant work experience in Compliance, Legal, Audit or Risk Management
- Expertise in Investment Services, Global Delivery, Custody, Settlements, Exams Support or Client Services in complex financial institution
- Working knowledge of Excel, PowerPoint and other Microsoft Office applications
Benefits
- retirement savings plan (401K) with company match
- insurance coverage including basic life, medical, dental, vision, long-term disability, and other optional additional coverages
- paid-time off including vacation, sick leave, short term disability, and family care responsibilities
- access to Employee Assistance Program
- incentive compensation including eligibility for annual performance-based awards (excluding certain sales roles subject to sales incentive plans)
- eligibility for certain tax advantaged savings plans
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
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