Sr. Compliance Analyst - Charlotte, United States - Duke Energy

Duke Energy Charlotte, United States

2 weeks ago

Description

More than a career - a chance to make a difference in people's lives.

Build an exciting, rewarding career with us - help us make a difference for millions of people every day. Consider joining the Duke Energy team, where you'll find a friendly work environment, opportunities for growth and development, recognition for your work, and competitive pay and benefits.

Job Summary

Responsible for portfolio adherence to legal and regulatory compliance of Residential Solutions non- regulated products and services. This role is responsible for supporting and implementing strategies, objectives, initiatives, and measures to ensure compliance with legal, regulatory, contractual compliance requirements impacting Residential Solutions The role will be required to understand the nuisances of the internal /external regulatory compliance requirements (F251/252), legal framework as it relates affiliate marketing, NUO (below the line), state licensing requirements and legislative review, underwriting requirements, Sarbanes Oxley, cost allocation manuals, non-discriminatory access, MOU requirements, contractor certifications, etc. to ensure current products and services are up to date and operating within compliance as well as ensuring new products, enhancements are generated within compliance from the start. This role will be engaged in project planning, delivery and execution of Residential Solutions non-regulated products and services, user interface and technical integration, as well as Duke Energy Connections transfer process and delivery of services across all jurisdictions. These programs and services target Duke's customer base and generate revenue of roughly $120 million across all Duke's jurisdictional markets. This position provides guidance to a cross matrix organizational team servicing a customer base of approximately 1.5M participants to ensure legal and regulatory integrity. The position will be critical for Residential Solution's warranty programs are maintained and within compliance from the start.

Responsibilities

Knowledge of fundamental concepts and understanding of how to develop and apply procedures while balancing Duke Energy's internal and external regulatory compliance requirements (e.g., FERC, NERC, NIST, Sarbanes Oxley, Open Pages, State specific regulatory needs, TCPA, state licensing requirements, legislative review,) and the needs of the business.
Develop and implement processes to ensure monthly, annual, quarterly compliance tasks are completed timely as well as develop tracking and reporting mechanism to manage plan, timelines, and status. These include but not limited to: MOU requirements, non-discriminatory access, contractor certifications, state license requirements, annual legal reviews, etc.
Develop competence in the use of compliance tracking tools, procedures, and research capabilities for the compliance related program needs.
Carries out individual work assignments in development and support of processes, programs, and projects of the compliance program. This may include but not limited to collaboration to gather and review data for responses to legal and regulatory inquiries.
Demonstrates working knowledge of external and internal regulatory standards, policies, processes, and controls that are appliable to the business area.
Guide and support business units in the development of self-reports, cause analyses, corrective plans, and mitigation plan porting.
Establish, structure, lead or assist relevant compliance review meetings to ensure open, transparent communication between team members, key stakeholders, and management to adhere to ethics and compliance requirements (Open pages, regulatory data requests.
Maintain or create evidence of mitigation and corrective actions and required business area reporting.
Correlate event data to identify trends and compliance risks. Make recommendations that enable expeditious remediation to events and prevents recurrence.
Develop and maintain compliance playbook documenting code of conduct by affiliate, marketing restraints, what we can and cannot do as current state as well as develop and manage plan for evolvement based on business needs.
Develop and maintain key relationships within the organization to understand compliance/regulatory requirements, communicate compliance information clearly and effectively, escalate challenges, roadblocks to manager and/or customer as well providing customer support to ensure compliance results to internal parties as requested to need business requirements.
Serve as compliance SME for Residential Solutions for day-to-day operations managing products & services checklists, documentation, and sustainment as well as for ideation, new projects & initiatives, and portfolio enhancements to mitigate risks as portfolio grows.
Oversee regulatory, legal and compliance parameters to ensure adherence with project and initiative integration.
Assist in internal audits and/or external inquiries or compliance audits.

Basic/Required Qualifications

Bachelor's Degree in engineering, computer science, computer information systems, cybersecurity, accounting, economics, business, finance, or other related disciplines
In addition to bachelor's degree, four (4) years minimum of related experience
In lieu of bachelor's degree, eight (8) years minimum of related work experience

Desired Qualifications

Five (5) years minimum of related experience, nine (9) in lieu of degree
Proficient with Microsoft products such as SharePoint, Excel, Word, and Power Point
Experience in compliance, preferably with risk identification and management, audit and compliance, policy development and maintenance, evaluation of control requirements, and related industry regulatory issues.
Demonstrated ability to develop action plans and execute to get results.
Demonstrated problem solving and analytical skills. Able to resolve complex issues that require significant freedom of action and sound judgment.
Demonstrated ability to work independently with minimal supervisory review and direction.
Knowledge of laws, regulations, policies, and ethics as they relate to operations.
Demonstrated excellent listening and communication skills; able to present complex information in an understandable manner both verbal and written to all levels of the organization including senior management and executive management.
Demonstrated ability to work effectively with internal stakeholders.
Demonstrated collaboration skills.
Experience with audit skills, controls, security, and related industry regulatory issues
Demonstrates excellent listening and communication skills and puts forth the effort to understand other points of view.
Ability to manage confidential information with a high degree of integrity.
Respond well to supervisors, is easy to challenge and develop, and is easily coachable.
Work effectively with minimally defined direction requiring some degree of judgement.
Able to present complex information in an understandable manner both verbal and written.
Demonstrated ability to absorb change and continue with positive results.
Recognize a possible compliance violation and take appropriate action to report the incident as required.
Knowledge in validating the organization against policies/guidelines/procedures/regulations/laws to ensure compliance.
Skill in supporting audits or reviews of technical systems.
Skill in performing impact/risk assessments.
Skill in processing collected data for follow-on analysis.
Previous experience in regulatory compliance, risk management, audit, accounting/finance, or other relevant positions
Understanding of utility industry operations

Working Conditions

Hybrid Mobility Classification - Work will be performed from both remote and onsite locations after the onboarding period. However, hybrid employees should live within a reasonable daily commute to a Duke Energy facility.
Office environment with some travel and visits to field locations. Some overtime possible.

Specific Requirements

If NERC CIP access is required, a Personal Risk Assessment will need to be completed every 7 years and annual cybersecurity training must be successfully completed as well.

Travel Requirements
5-15%

Relocation Assistance Provided (as applicable)
No

Represented/Union Position
No

Visa Sponsored Position
No

Posting Expiration Date
Thursday, May 16, 2024
All job postings expire at 12:01 AM on the posting expiration date.

Please note that in order to be considered for this position, you must possess all of the basic/required qualifications.

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Do Not Sell My Personal Information (CA)

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