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
- Managing the interaction models and developing new frameworks associated with COI and G&E programs.
- Building and maintaining strong collaborative relationships with partners across Capital One, including HR, Legal, Compliance, External Affairs, Capital One Software, Capital One Ventures, Risk Management, and other impacted lines of business, and with outside counsel.
- Significant experience drafting legal memoranda analyzing complex factual scenarios and providing options and recommendations for consideration in decision-making.
- Analyzing, resolving, and documenting complex, sensitive, and escalated COI and G&E disclosures particularly those involving investments in venture funds, Special Purpose Vehicles (SPVs), and private companies.
- Supervising a team responsible for conducting initial assessments, fact-finding, and interviews supporting the analysis and resolution of COI and G&E disclosures from current associates, executives and candidates.
- Providing oral and written briefings for senior leadership, up to and including the Managing Vice President of Corporate Integrity and Chief Ethics Officer.
- Developing/maintaining an Enterprise-wide process to promote disclosure of potential COIs and G&Es, as well as programs to monitor adherence to conditions designed to mitigate conflicts related to the same.
- Implementing case management best practices and leveraging technology to gain efficiencies; manage increasing volumes of COI and G&E disclosures and scale the COI/G&E disclosure programs; and enhance analyses and monitoring activities.
- Managing the identification of trends, emerging risks, and insights to inform ongoing development of the programs.
- Contributing perspective and expertise to broader and related Corporate Integrity initiatives, such as the Company’s Code of Conduct, industry benchmarking, and additional program builds.
- Prioritizing among multiple tasks and responsibilities in a fast-paced, dynamic environment.
- Serving as a member of the senior leadership team in the Office of Corporate Integrity and supporting the mission thereof.
Requirements
- Juris Doctorate degree
- At least 10 years of experience in Corporate Ethics, Government Regulatory Enforcement, Legal, Compliance, or Risk Management
- At least 3 years experience in legal casework involving financial services
- At least 3 years of experience leading teams or people management
- At least 5 years of experience working in financial services (preferred)
- At least 5 years of experience in Ethics, Risk, Compliance Programs or a combination with a focus on analyzing COI disclosures and G&E requests (preferred)
- Experience collecting, analyzing, and measuring process data to initiate sustainable business practices, procedures, and to report to senior leadership and executives (preferred)
- Experience with program management, change management, maintenance of program governance documents or a combination thereof (preferred)
- Experience communicating with senior executives about sensitive matters (preferred)
- Proficiency in the Google Suite (Google Docs, Slides, Sheets) (preferred)
Benefits
- comprehensive, competitive, and inclusive set of health, financial and other benefits that support your total well-being
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.