XE
Xcel EnergyRegulatory Policy Specialist
Regulatory Policy Specialist developing regulatory case filings and strategies at Xcel Energy. Collaborating with senior management to ensure compliance and effective communication with stakeholders.
About the role
- Analyze business practices of advisors within various independent distribution networks
- Oversee daily operations in the mutual fund discipline as well as in securities
- Contribute to the design, implementation, and coordination of the compliance framework
- Monitor supervisory measures, particularly the behavior of independent advisors
- Analyze and help diagnose issues, provide advice in accordance with regulatory requirements
- Participate in the development of recommendations and implementation plans
- Develop tools, methods, and processes tailored to the needs of the organization
Requirements
- Bachelor’s degree in a relevant field
- A minimum of four years of relevant experience
- Experience in audit or supervision
- Completion of the Canadian Securities Course (CSC)
- Completion of the Conduct and Practices Handbook Course (CPH)
- Completion Investment Dealer Supervisors Course (IDSC)
- Completion (or commitment to quickly complete) the Derivatives Fundamentals and Options Licensing Course (DFOL)
- Knowledge of French is required
- Advanced intermediate proficiency in English, due to the nature of the tasks, work tools, and interactions with English-speaking partners, members, and clients
Benefits
- Competitive salary and annual bonus
- 4 weeks of flexible vacation starting in the first year
- Defined benefit pension plan that provides predictable, stable income throughout retirement
- Group insurance including telemedicine
- Reimbursement of health and wellness expenses and telework equipment
Job title
Job type
Experience level
Salary
Not specified
Degree requirement
Location requirements
MA
MassMutualLead, Insurance Product Compliance
Lead, Insurance Product Compliance offering guidance on compliance risks and solutions for insurance underwriting. Collaborate with stakeholders and perform data analysis to recommend compliance actions.
RB
Regions BankFair Lending Compliance Manager
Compliance Manager overseeing Fair Lending Program at Regions Bank. Directing compliance reviews, advising leadership, and managing training and oversight initiatives.
SH
Syneos HealthCommercial Compliance & Ethics Analyst
Commercial Compliance Analyst supporting launch and compliance of commercial field teams at Syneos Health. Collaborating across teams to ensure adherence to regulatory requirements and develop training.
Compliance Analyst responsible for operational execution of licensing program for Nuvei. Handling regulatory reporting, license maintenance, and governance metrics.
Partner Commercial Manager focusing on license compliance strategies for AVEVA’s software revenues in India. Collaborate with sales and legal teams to ensure compliance and drive growth.
LG
LSEG (London Stock Exchange Group)Compliance Assistant Manager, Benchmarks & Indices
Compliance Assistant Manager supporting FTSE Russell operations and compliance frameworks at LSEG. Driving regulatory excellence with key responsibilities in risk management and governance.
JG
juris GmbHLegal Counsel, Compliance
Legal Compliance Officer at juris GmbH focusing on central compliance requirements and legal standards. Engaging with management to strengthen legal security and implement compliance in processes.
SG
Scania GroupCompliance Officer
Compliance Officer supporting implementation of compliance frameworks in TRATON Financial Services. Collaborating across departments and focusing on AML and GDPR compliance in Romanian and Bulgarian markets.
CB
Constellation BrandsData Privacy and Compliance Manager
Manager of Privacy & Data Compliance at Constellation Brands overseeing privacy operations and ensuring data protection across teams. Collaborating with business units to maintain regulatory compliance and manage risks.