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
- Lead and manage an effective team of highly skilled compliance professionals
- Design and implement risk-based compliance test plans for RIAs and RICs, focusing on Private Markets activities
- Ensure compliance programs align with SEC regulations, particularly 206(4)-7 and 38a-1
- Prepare detailed reports on compliance testing results and present findings to senior management
- Collaborate with internal and external stakeholders, including Segment and Entity Chief Compliance Officers, portfolio managers, legal, operations, internal and external auditors, and Global Compliance
- Foster a culture of compliance and ethical behavior across the organization
Requirements
- 10 years of experience in financial services
- 5 years in compliance testing, related compliance function, audit services, or risk management
- Experience at an institutional asset manager is strongly preferred
- Exceptional leadership and communication skills
- Experience in managing and developing high-performing teams
- Bachelor’s degree in Finance, Law, Accounting, Economics, Business Administration, or related field; advanced degree or relevant certifications (e.g., JD, CPA, CFA, CIA, CFE, IACCP) are a plus
- Understanding of global regulatory requirements, deep understanding of SEC regulations 206(4)-7 and 38a-1
- Familiarity with alternative investments: private equity, private credit, infrastructures, timber and agriculture
Benefits
- Health insurance
- Dental insurance
- Mental health support
- Vision insurance
- Short- and long-term disability insurance
- Life and AD&D insurance coverage
- Adoption/surrogacy benefits
- Wellness benefits
- Employee/family assistance plans
- Retirement savings plans (including pension/401(k) savings plans)
- Global share ownership plan with employer matching contributions
- Financial education and counseling resources
- Up to 11 paid holidays
- 3 personal days
- 150 hours of vacation
- 40 hours of sick time
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