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The Compliance Specialist II will help administer the Corporate Compliance program to employees across the company. The Compliance Specialist II will conduct investigations into reports and allegations of compliance violations and serve as a resource for individuals and groups seeking assistance with compliance-related concerns and questions.
The Compliance Specialist II must maintain a comprehensive understanding of ethical principles, as well as the highest level of personal and professional conduct. The Compliance Specialist II must remain objective and independent when completing assignments, and consistently demonstrate the ability to hold information in confidence.
Essential Duties and Responsibilities:
- Monitors Compliance concerns received through various channels (i.e., phone, email, incident report, hotline and website);
- Conducts in-depth, independent research into reports of alleged compliance violations and gathers necessary information related to Compliance investigations/resolutions;
- Coordinates and directs research and follow-up on complaints, concerns, and allegations to ensure proper, unbiased resolutions; responsible for coordinating investigations with Legal, HR, and/or other control functions (e.g., IT Security, Regulatory Compliance, etc.) on a regular basis regarding investigations and recommendations to ensure the implementation of consistent disciplinary action strategies where appropriate;
- Evaluates documentation and evidence to establish facts; independently conducts telephonic and in-person interviews with employees and witnesses to obtain statements and information; analyzes and reviews facts to ascertain whether violations of established policies and procedures have occurred; independently evaluates evidence, data, witness statements, and documentation to formulate conclusions and makes recommendations based on findings of compliance investigations;
- Maintains investigation files, documents evidence and case notes, and prepares detailed and formal investigation summaries;
- Maintains databases of complaints, concerns, and allegations and ensures accuracy of data; monitor compliance systems to ensure their effectiveness;
- Works with team members to create, maintain and update Corporate Compliance policies and procedures and with other control functions to comment on their policies and procedures;
- Recommend topics for education and training sessions based on recent trends; participates in the development of compliance education and training materials; provide compliance-related education and training sessions for employees (in person, over the phone, and e-learning);
- Monitor and follow up on employee participation and completion of certifications and training;
- Provide assistance to internal or external auditors in compliance reviews;
- Prepare reports regarding compliance operations and progress;
- Systems administrator for compliance software related programs and systems;
- Run email searches and review results;
- Assist in the administration of the Antibribery & Corruption program;
- Keep abreast of new guidance from the SEC, DOJ, and other government regulatory bodies;
- Performs other duties as assigned/necessary.
Minimum Requirements:
- Bachelor's Degree required
- A minimum of 8 years of experience in compliance or a related function (e.g., Legal, Risk or Internal Audit)
- Experience with escalated workplace investigations and experience with interviewing personnel in the context of compliance investigations preferred
- Ability to work independently with little direct supervision
- Ability to build and maintain positive professional business relationships
- Strong project management experience a plus
- Strong organizational and interpersonal skills, along with strong attention to detail
- Excellent oral and written communication skills
- Demonstrates independent reasoning, critical thinking, and decision-making skills
- Ability to professionally and confidentially handle personnel information
- Adaptability to change and ability to prioritize competing duties
- Experience with Microsoft Office required
- Experience with Compliance software preferred
- Certified Fraud Examiner (CFE) certification a plus
- This position can be based in Houston, TX or Princeton, NJ working three days onsite/in office and the other two days remote.
NRG Energy is committed to a drug and alcohol-free workplace. To the extent permitted by law and any applicable collective bargaining agreement, employees are subject to periodic random drug testing, and post-accident and reasonable suspicion drug and alcohol testing. EOE AA M/F/Vet/Disability. Level, Title and/or Salary may be adjusted based on the applicant's experience or skills.
Official description on file with Talent.
