Compliance Professional

Scope of the Role

The Compliance Professional (CP) works with and reports to the Director of Compliance to help ensure compliance with all mandatory and enforceable laws, regulations, rules, and standards associated with Federal and State regulatory bodies, including but not limited to FERC, NERC, SPP, ERCOT, PUCT, CFTC, EPA, and DOE, and other compliance rules as applicable to Golden Spread Electric Cooperative, Inc. (GSEC), GSEC affiliates and GSEC Member Cooperatives. The CP has a major impact on GSEC’s success and significantly contributes to the prime goal of the Cooperative: to provide reliable service at a reasonable price to all our Members. The CP will be responsible for GSEC’s compliance inventory database, managing and implementing GSEC’s compliance training and communication plan, monitoring GSEC’s compliance culture, tracking GSEC’s compliance history, monitoring for and communicating potential non-compliance and compliance risks, and providing corrective recommendations when needed. This role is also relied upon to ensure any required mitigating activities or corrective actions for potential non-compliance are implemented and completed.

Essential Job Functions

- Manage GSEC’s compliance inventory database and compliance documentation, ensuring complete and accurate information and assignment of responsibility.

- Identify any gaps in GSEC’s compliance inventory database and ensure all appropriate rules and regulations are captured.

- Support the interpretation of applicable laws, regulations, and compliance requirements.

- Support assigning compliance and risk ownership to Subject Matter Experts and managers for GSEC’s compliance responsibilities.

- Ensure compliance reporting and communication channels are maintained and trained on, and compliance reports and questions are addressed.

- Maintain, update, and implement GSEC’s Code of Conduct and other compliance policies, as needed.

- Monitor and measure GSEC’s compliance culture and ethics, promoting transparency, integrity, and a strong compliance culture.

- Foster an environment that supports a culture of compliance and reliability excellence.

- Develop, document, and manage an enterprise compliance training and communication plan.

- Recommend and implement timely employee compliance training and provide answers to employee questions about compliance-related matters.

- Create compliance training and communication material as needed.

- Support the development and maintenance of GSEC’s compliance programs, controls, and document management systems.

- Advise GSEC’s Member Cooperatives, as requested, in their compliance programs, activities, and reporting needs.

- Maintain the proper storage and organization of documentation and evidence required to demonstrate compliance and ensure that the retention of all documentation meets regulatory requirements.

- Monitor for compliance risk and potential non-compliance of external rules utilizing GSEC’s compliance inventory database and other controls and communicate such findings within the department and appropriate responsible departments.

- Manage GSEC’s compliance history, including history of self-reports, investigations, and audits.

- Manage the life cycle of mitigation plans for areas of non-compliance with any applicable laws, regulations, rules, reliability standards, etc. from creation to completion.

- Support internal and external spot-checks and audits and the implementation of mitigation plans for non-compliance.

- Other duties as assigned.

Complexity of Problems

Intermediate level complexity needed to:

- Create and present training and communication material, interpret rules, and manage a compliance inventory database.

- Support with spot-checks, audits, and track compliance history.

- Maintain a code of conduct and monitor and measure GSEC’s compliance culture.

- Lead and develop project deadlines and manage deliverables.

Internal and External Contacts

Internal Contacts:

Employees at all levels within the organization

External Contact:

Member Cooperatives, Board of Directors, vendors, consultants, third parties that perform compliance activities on GSEC’s behalf, and regulators/auditors

Education, Knowledge, and Experience Required

- Bachelor’s degree in law, economics, legal studies, business, finance or relevant field required.

- Master’s degree, Certified Compliance and Ethics Professional (CCEP) certification, or equivalent work experience is preferred.

- 3 to 5 years’ experience working in compliance or regulatory environment required.

- Highly developed verbal and written communication skills to communicate with internal and external stakeholders, including member cooperatives, the legal team, and outside consultants.

- Highly developed interpersonal skills to foster teamwork and flexibility in a changing environment.

- Excellent organizational skills, analytical thinking, and project management.

- High integrity, with the ability to maintain confidentiality and use good judgment related to sensitive matters.

- Proficiency with common software products, including but not limited to Microsoft Office 365 Suite, Visio, Adobe Acrobat, and database management systems.

Work location and conditions – Office, Amarillo, TX. Occasional travel required.

Competencies

- Collaboration – Core Competency

- Ethics & Integrity – Core Competency

- Deliver Results – Core Competency

- Planning & Organizing

- Communication

- Decision Making & Judgment

FLSA Status

Exempt