Regulatory Policy Specialist developing regulatory case filings and strategies supporting company goals at Xcel Energy. Collaborating with stakeholders and senior management to ensure compliance and effective communication.
About the role
- Associate supporting compliance risk management program in healthcare fintech. Collaborating on compliance monitoring, assessments, and special projects for operational excellence.
Responsibilities
- Assist with the planning and execution of compliance program initiatives, including risk-based testing frameworks, strategic projects, and learning and development efforts
- Help maintain compliance risk assessments and annual monitoring plans aligned with regulatory requirements and internal policies
- Aid in the execution of compliance testing and issue management programs, ensuring timely remediation and stakeholder communication
- Drive innovation in compliance processes and operations, identifying opportunities for automation, efficiency, and scalability
- Prepare and deliver high-impact presentations and written communications for senior leadership, cross-functional teams, and external stakeholders
- Support key decision-making forums by coordinating materials, insights, and recommendations across the compliance function
- Lead or contribute to special projects and strategic initiatives across legal, risk, and operational teams
Requirements
- Bachelor’s Degree; an advanced degree is a plus
- 5-7 years of experience preferably with a fast-growing tech startup, financial technology company, financial institution, or consulting firm or equivalent
- Excellent track record in project/program management, a plus if you have financial services industry experience
- Experience writing communications and presentations for leadership and non-leadership audiences
- Experience collecting, analyzing, and measuring process data to initiate sustainable business practices and procedures and to report to senior leadership and executives
- Experience collaborating closely with various business, legal, risk, and operational teams and the ability to develop and implement collaborative processes
- Demonstrated expertise in issue identification and tracking within a structured issue management framework, including collaboration with business units to validate corrective action plans and conduct follow-up testing to ensure effective remediation
- Proven experience in designing and implementing comprehensive compliance monitoring and testing programs, including conducting end-to-end evaluations of critical business processes to ensure adherence to regulatory standards and internal policy requirements
- Demonstrable experience of laws, regulations, and industry practices impacting financial services (e.g., financial crimes, NACHA, consumer compliance, etc.)
- Experienced knowledge in leading or being a key contributor for risk-based testing or auditing around industry-standard testing/auditing/control standards, such as COSO, SOX, Privacy/CCPA, HIPPA, NIST, ISO 27001, PCI DSS, etc. and associated regulations
Benefits
- 401k plan with employer match
- Flexible paid time off
- Holidays
- Parental leaves
- Life and disability insurance
- Health benefits including medical, dental, vision, and prescription drug coverage
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