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.
SF
Hybrid Director, Asset Management Compliance
Posted last month
About the role
- perform Operational Due Diligence (ODD) of third-party fund managers of alternative investment products on behalf of the CCOs, other governing bodies, and investors
- continuous assessment of improvement opportunities and regulatory changes in compliance oversight programs
- proactively evaluate the compliance environment to assess strengths or weaknesses of controls that support products and services
- foster strong partnerships with key business partners to support the expansion of solutions-based products and fund offerings, particularly in the alternatives asset class
Requirements
- Bachelor’s degree or equivalent
- 10+ years of compliance, risk, and/or regulatory experience in the financial services industry
- Experience supporting alternative investment products and/or private funds (preferred, not required)
- Strong understanding of the federal securities laws including the Investment Advisers Act of 1940
- Strong analytical and problem-solving skills with an ability to understand complex issues and regulatory requirements and to provide clear and concise point of view in written and verbal communications, including to senior management
- Drive to evaluate opportunities for improvements in process through technology solutions
- Strong organizational skills and attention to detail, with a proven ability to succeed in a fast-paced environment
Benefits
- comprehensive health care coverage and emotional well-being support
- market-leading retirement
- generous paid time off and parental leave
- charitable giving employee match program
- educational assistance including student loan repayment, tuition reimbursement, and learning resources to develop your career
Job title
Job type
Experience level
Salary
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.