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
- Conduct testing across the CUSO/IHC, inclusive of transactional testing as well as controls to determine adherence to compliance requirements
- Perform research on regulatory requirements to ensure understanding of subject under review
- Support overall review by completing testing assignments on time and adhering to departmental procedures and templates
- Document testing outcomes, including high quality workpapers and documentation that support conclusions of testing
- Provide regular status updates pertaining to progress against assignments
- Communicate findings to Sr. Tester or Line of Business Partners
- Contribute to issue identification and overall review conclusions
- Responsible for escalating challenges with testing as well as the identification of higher risk issues
- Provides ideas for the enhancement of the Program by leveraging Compliance Advisory team members, Compliance Practices and Assurance team members, Business Partners, and industry research
Requirements
- 1-4 years’ experience in the financial services industry in Compliance Testing, Controls Testing, Quality Assurance, Branch Inspection, Internal Audit or at a financial institutions regulatory agency
- Knowledge of compliance testing methodologies and/or audit experience
- Knowledge of FINRA, SEC, MSRB, FRBNY, CFPB and/or OCC rules and regulations
Benefits
- A comprehensive Total Rewards Program including bonuses and flexible benefits
- Competitive compensation
- Commissions and stock where applicable
- 401(k) program with company-matching contributions
- Health, dental, vision, life and disability insurance
- Paid time-off plan
Job title
Job type
Experience level
Salary
Degree requirement
No Education Requirement
Location requirements
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