Senior Compliance Analyst

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Position Summary

This is the third level of the Compliance Analyst classification hierarchy. Employees at this level solve more complex problems, in multiple areas of specialization, with general supervision. Incumbents are expected to develop advanced skills and the ability to work with greater independence. They effectively apply fundamental concepts and procedures to work that is fairly complex and varied.They have knowledge of fundamental concepts and understand how to develop and apply procedures while balancing Duke Energy's internal (e.g., IT502, IT503) and external regulatory compliance requirements (e.g., FERC, NERC, NIST, Sarbanes Oxley) and the needs of the business.

Responsibilities

Compliance Program Support

• Demonstrates working knowledge of compliance policy, standards, processes, controls, and functional areas.

• Competent in the use of compliance tools, procedures, and research capabilities.

• Perform or assist in compliance reviews and identify compliance gaps in processes and procedures resulting in recommendations for inclusion in risk mitigation strategy.

• Perform or assist in compliance trend analysis and reporting.

• Correlate data to identify specific issues and make recommendations that enable expeditious remediation.

• Assess or assist in the assessment in the effectiveness of internal controls.

• Collaborate with compliance leadership and Subject Matter Experts to make sure compliance technologies, processes, and people align with Duke's strategic plan and budget.

• Define Duke's compliance standards, performance metrics, plan, and initiate periodic performance reviews for the compliance program.

• Carries out individual work assignments in development and support of processes, programs, and projects of the Compliance program.

• Gather, review, and submit data for responses to legal and regulatory inquiries.

• Develop self-reports, cause analyses, corrective plans, and mitigation plan reporting to support business units.

• Correlate event data to identify trends and compliance risks.

• Make recommendations that enable expeditious remediation to events and prevents recurrence. Project Management

• Carries out individual work assignments of a more complex nature to meet established work schedules.

• Receives work assignments and works with minimal review and direction by management or lead analyst.

• Performs or assists in the performance of technical project work as needed to complete project deliverables.

• Works directly with internal project leads to ensure project goals are met and/or issues are escalated, classified, and documented properly.

• Ability to lead small project teams related to the compliance program. Process and Controls Awareness

• Comprehensive knowledge of compliance policy, standards, processes, resources, and controls.

• Able to ensure process and controls knowledge meet compliance requirements.

• Provides input on process improvements to compliance program.

• Monitor and evaluate the effectiveness of compliance controls to ensure they provide the intended level of risk mitigation.

• Develop comprehensive internal controls in response to compliance events and/or trending compliance risk.

• Executes Compliance functional processes and procedures with minimal oversight Customer Relationship Management

• Provides good customer support to deliver compliance results to internal and external parties.

• Communicates with customers to understand compliance requirements.

• Communicate compliance information in a clear and concise manner.

• Communicates problems and resolutions to manager and/or customers.

Required/Basic Qualifications

• Bachelors degree in Computer Science or

• Bachelors degree in Finance or

• Bachelors degree in Engineering or

• Bachelors degree in Accounting or

• Bachelors degree in Cybersecurity or

• Bachelors degree in Computer Information Systems or

• Bachelors degree in Economics or

• Bachelors degree in Other Related Degree or

• Bachelors degree in Business

• 4 years related work experience

• In lieu of Bachelors degree(s) AND 4 year(s) related work experience listed above, High School/GED AND 8 year(s) related work experience.

Additional Preferred Qualifications

• 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.

• Knowledge in validating the organization against policies/guidelines/procedures/regulations/laws to ensure compliance.

• Knowledge of risk management processes (e.g., methods for assessing and mitigating risk)

• Skill in developing compliance processes and controls.

• Interface with internal and external auditors for risk assessment.

• Demonstrated ability to work independently with minimal supervisory review and direction.

• Able to present complex information in an understandable manner both verbal and written to peer levels within the organization and multiple levels within the organization as well as regulatory entities and other utility representatives.

• Demonstrated ability to absorb change and continue with positive results.

• Exhibits confidence and a proper level of assertiveness when needed; displays maturity in approach and ability to effectively handle stress and frustration.

• Knowledge of laws, regulations, policies, and ethics as they relate to operations.

• Skill in conducting audits or reviews of technical systems.

• Skill in performing impact/risk assessments.

• Skill in processing collected data for follow-on analysis.

• Demonstrated excellent listening and communication skills and puts forth the effort to understand other points of view.

• Has the ability to manage confidential information with a high degree of integrity.

• Responds well to supervisors, is easy to challenge and develop, and is easily coachable.es, or Supply Chain.

• PE, PMP, CISA (Cybersecurity and Infrastructure Security Agency), CISSP (Certified Information System Security Professional), NERC System Operator, CPA, CIA (Certified Internal Auditor), CPSM (Certified Professional Supply Management)

Working Conditions

• Office environment with some travel and visits to field locations. Some overtime possible.

• Hybrid - Work will be performed from both remote and onsite locations after the onboarding period. However, hybrid employees should live within a reasonable commute to their designated Duke Energy facility.

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

Posting Expiration Date

All job postings expire at 12:01 AM on the posting expiration date.

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