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
- Partner with MassMutual Financial Advisors to proactively deliver highly valued, risk-based support promoting a culture of compliance and ethics in the Field across all business lines.
- Conduct fair and thorough inspections of agencies and draft tailored findings and meaningful risk-based remediation recommendations.
- Monitor, investigate, remediate, and report on highly complex matters within the Company.
- Conduct surveillance of securities business and follow up on findings with agencies.
- Employ knowledge and insights gained through agency inspection visits to fully understand agency infrastructure and enhance the quality of ongoing, risk-based guidance.
- Provide timely and practical compliance advice to members of the MMFA, including advice on handling producer misconduct and other general supervisory issues.
- Modify procedures or processes.
- Undertake fact gathering and investigation activities to monitor the effectiveness of implementation within areas of responsibility.
- Develop and deliver training that is tailored to the needs of MMFA Field Partners.
- Drive follow-up and remediation of potential findings arising from trend reporting and data analytics activity.
Requirements
- High school diploma or equivalent, General Education Diploma
- 4+ years of experience and understanding of financial and insurance products
- Series 7 and Series 24 at time of application
- Ability to travel to Agencies in the US. Anticipated travel obligations will be up to 6-10 weeks per year.
- Bachelor’s Degree, MBA, JD, and other designations such as CLU, ChFc , and CRCP preferred
- Series 53 preferred
- Excellent verbal and written communication skills
- Strong organizational skills
- Ability to collaborate and maintain strong working relationships
- Demonstrated ability to champion and adapt quickly to change
- Detail oriented with excellent analytical and problem-solving skills
Benefits
- Access to learning content on Degreed and other informational platforms
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQIA+, veteran and disability-focused Business Resource Groups
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