Sr Mgr, Compliance, Audits & Investigations','71019748','Oct 4, 2017','Ongoing','US-CA-Rosemead','','!*!Are you looking to make a difference in your career? We’re working on smarter grids, cleaner energy and tools to help people manage energy more efficiently. We’re committed to creating and maintaining a culture where making ethical choices and complying with laws, regulations and company policies are the expected, everyday course of action. Position Overview: This position is part of the Ethics and Compliance management team reporting to the Principal Manager of Compliance Assurance and oversees the external regulatory audit management and internal regulatory compliance investigation functions. As such, this position regularly interacts with Directors, Principal and senior managers and peers across various OU’s, as well as interfacing with the CPUC, FERC, NERC and/or WECC staff and their external auditors. The successful candidate will have direct reports who are responsible for leading the Company’s response to external regulatory audits conducted by the CPUC, FERC, NERC and WECC and conducting internal regulatory compliance investigations. In addition, this position will lead cross-functional teams responding to complex external regulatory audits or conducting challenging internal compliance investigations. Typical Responsibilities: Provide leadership and strategic direction to direct reports and cross-functional teams responding to external regulatory audits and conducting internal compliance investigations to ensure consistency in audit response and investigation approaches. Will also ensure internal compliance investigations are completed in a timely manner and any self-reports and mitigation plans submitted to regulatory agencies are accurate, complete and submitted timely.Lead cross-functional teams responding to large, complex external regulatory audits. Act as primary Company interface with the CPUC/FERC/NERC/WECC staff and/or their external auditors; ensure the Company’s compliance position is effectively communicated to the auditors; ensure all data request responses are accurate, complete and submitted in a timely manner; effectively prepare all subject matter experts interviewed by the auditors; prepare the Company’s response to draft and final audit reports; and track all corrective actions resulting from the audit to completion.Lead cross-functional teams conducting challenging internal compliance investigations. Develop and execute the investigation plan/schedule; lead the analysis of relevant facts to determine compliance or noncompliance; perform noncompliant event risk assessments; conduct cause evaluations; develop and submit the self-reports to the regulator; oversee and submit mitigation plans and the reporting of the completion of key milestones to the regulators; and interface with the regulator to respond to inquiries and negotiate settlements of potential penalties. Provide accurate and timely briefings to senior management and executives on regulatory audits and internal compliance investigations status, findings and recommendations.Prepare reports and metrics on external regulatory audits and internal compliance investigations.Mange resources and budget levels to meet strategic objectives and operational needs. Make, recommend and/or approve employment decisions (e.g. hiring, promotion, appropriate pay, rewards/recognition, succession planning and termination). Manage employee performance for direct reports. Establish performance expectations and goals aligned to Company objectives, policies and procedures. Manage, train, and develop staff by providing timely feedback, coaching and support. Demonstrate Company values through decisions and actions. Promote the Company’s safety culture to ensure a safe work environment. ','!*!Minimum Qualifications:Bachelor’s degree in Business, Accounting, Economics, Finance, Information Technology, Engineering or related discipline5 years of experience with CPUC, FERC and/or NERC regulatory policy, advocacy and/or compliance5 years of experience managing an organization or leading cross-functional teams and ability to resolve issues in a timely manner to achieve project resultsDesired Qualifications:MBA or related Master’s degree2 years of experience directly interfacing or negotiating with CPUC, FERC, NERC and/or WECC staff or their external auditors.Knowledge of the operations of one or more of the following organizations: Transmission & Distribution, Information Technology, Energy Procurement & Management, Customer Programs, Regulatory Operations, or Finance.Experience conducting internal compliance investigations or audits, other assessments of potential noncompliance events, or performing cause evaluations.Understanding of and experience dealing with general auditing techniques and methods.Excellent analytical, problem solving, strategic thinking and decision-making skills and the ability to analyze complex regulatory and business problems and create innovative solutions.Ability to rapidly learn and assimilate complex and technical information in unfamiliar situations and be able to systematically gather relevant information from different sources to identify and manage resolution of problems or issues.Excellent interpersonal, oral communications and consulting skills for building relationships, fostering two-way communications, interacting with all levels of management, and building and maintaining relationships with stakeholders, regulatory agency staff and external auditors.Excellent written communication skills including the ability to develop effective presentations, data request responses, testimony and other regulatory filings.Ability to be diplomatic and tactful in interfacing and negotiating with external auditors, regulatory agency staff, and/or senior and executive management to resolve conflicts or other issues that arise during an external regulatory audit or internal compliance investigation.Ability to effectively communicate complex, sensitive, strategic, and sometimes unfavorable information in a concise and straightforward manner.Experience in identifying and evaluating modifications to Company and/or organizational unit internal controls, policies, processes, and systems and experience consulting with senior and executive management about such recommendations.Ability to plan, organize, manage and schedule multiple large and complex projects and assignments with minimum direction, often under tight time constraints and changing priorities.Comments:
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