Important Application Submission Information

Compliance Analyst

This is the second level of the Compliance Analyst classification hierarchy. Employees at this level solve problems, in single areas of specialization, with general supervision. Incumbents are expected to develop skills, and the ability to work with greater independence, as well as strive to become subject matter experts. 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.

Sr Compliance Analyst

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

Compliance Program Support

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

• 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.

• Perform or assist in business area trending analysis and reporting.

• Guide and support business units in the development of self-reports, cause analyses, corrective plans, and mitigation plan porting.

• Competent in the use of compliance tracking tools, procedures, and research capabilities for the Compliance program.

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

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

• 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. Project Management

• Carries out individual work assignments of a more complex nature for project related to implementing changes to support new or revised standards.

• Receives work assignments and works independently with some review and direction by management or senior compliance 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. Process and Controls Awareness

• Working knowledge of Compliance policies, standards, processes, and controls.

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

• Provides input on process improvements to Compliance program.

• Executes Compliance functional processes and procedures with minimal oversight.

• Monitor and evaluate the effectiveness of program controls to ensure they provide the intended level of protections. Customer Relationship Management

• Communicate with customers to understand compliance / regulatory requirements.

• Communicate compliance information in a clear and concise manner.

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

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

• Bachelors degree in Computer Science or

• Bachelors degree in Economics or

• Bachelors degree in Engineering or

• Bachelors degree in Business or

• Bachelors degree in Accounting or

• Bachelors degree in Cybersecurity or

• Bachelors degree in Other Related Degree or

• Bachelors degree in Computer Information Systems or

• Bachelors degree in Finance

• 2 years related work experience

• In lieu of Bachelors degree(s) AND 2 year(s) related work experience listed above, High School/GED AND 6 year(s) related work experience

Required/Basic Qualifications - Sr Compliance Analyst

• Bachelors degree in Computer Science or

• Bachelors degree in Economics or

• Bachelors degree in Engineering or

• Bachelors degree in Business or

• Bachelors degree in Accounting or

• Bachelors degree in Cybersecurity or

• Bachelors degree in Other Related Degree or

• Bachelors degree in Computer Information Systems or

• Bachelors degree in Finance

• 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

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• Bachelors degree

Additional Preferred Qualifications

• 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

• 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

• Able to work effectively with minimally defined direction requiring some degree of judgment

• Able to present complex information in an understandable manner both verbal and written

• 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

• 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

• 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

• Onsite Mobility Classification – Work will be performed at a company facility. On-site employees are also required to live within a reasonable daily commute to their assigned work location, not greater than 50 miles one way.

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