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Compliance Analyst

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Job Description

Direct Energy is a leading energy and energy-related services provider with nearly five million residential and commercial customers in North America. Direct Energy provides customers with choice and support in managing their energy costs through a portfolio of innovative products and services. A subsidiary of Centrica plc (LSE: CNA), one of the world’s leading integrated energy companies, Direct Energy operates in 50 U.S. states plus the District of Columbia and 10 provinces in Canada. To learn more about Direct Energy, please visit www.directenergy.com.

This position will be an integral part of implementing a robust North American Compliance Program.  This individual is responsible for providing support in various aspects of compliance and will report to the Manager of Compliance and may interact with all levels of the company.


  • Superior listener who is persuasive, poised and articulate.
  • Business maturity coupled with the highest integrity.


Additional Knowledge, Skills and Abilities:

  • General knowledge of ethics and compliance concepts, such as standards of conduct, business ethics, trading best practices, anonymous reporting of suspected violations, auditing and monitoring for compliance and issues and complaint resolution.
  • General knowledge of industry regulatory rules and regulations, state regulatory requirements and administrative procedures.
  • Quickly learns new relevant industry, legal and regulatory information and applies knowledge to specific issues or situations.
  • Good working knowledge of word processing, spreadsheets and power point
  • Excellent oral and written communication skills and ability to interact with employees at all levels. 
  • Strong interpersonal, organizational, and research skills
  • Ability to maintain confidentiality and use good judgment related to sensitive matters
  • Promote and exhibit high ethical standards
  • Ability to listen and analyze information
  • Motivated self-starter is critical
  • Effectively prioritize own time and focus on most critical activities
  • Maintain composure and uses good judgment under stressful circumstances
  • Ability to work in dynamic environment with staying abreast of the evolving energy & regulatory environme
  • Works well within a self-directed, team-based environment


A Bachelor’s degree from an accredited college or university or equivalent work experience. 


  • Three to five (depending on level) plus years professional experience.
  • One to three plus years of relevant U.S. or Canadian regulatory, legal, auditing or internal control work experience.  Energy sector preferred.
  • One plus years relevant experience in regulatory interpretation and guidance, conducting investigatory interviews or audits (energy or other commodity industry a plus)effectiveness or analyzing business processes


The job holder will be required to manage a varied work load. Key areas will include:

Provide day-to-day support of compliance initiatives including but not limited to:

  • Support Compliance Operations with regulatory reporting for state jurisdictions and Canadian provinces where DE services gas and electric customers.  The reporting regulatory agencies are below.
    • Federal Energy Regulatory Commission;
    • U.S. Department of Energy
    • U.S. Customs and Border Protection
    • Various ISOs
    • Canada Border Services Agency
    • National Energy Board
    • Various state commissions/regulatory agencies
  • Perform federal and various state regulations research that relates to regulatory related filings/reporting when needed.
  • Understand that this is a deadline/due date driven role.

Other responsibilities may include:

  • Support Compliance Operations with internal and external requests/inquiries pertaining to retail and wholesale licensing and regulatory reporting. 
  • Support Compliance Operations in handling internal requests for business expansion that may include new license application(s), license renewals for licenses already in place and requests for proposals.

Assisting Compliance Operations manager with special projects when needed

  • Ensures compliance procedures are appropriately documented. 
  • Acts as a subject matter contact for wholesale and retail energy industry regulations.

Reviews and updates processes into desk procedures for compliance with 

  • applicable federal and state laws and Commission regulations and orders.
  • Assists with Request for Proposals (RFPs).
  • Assists Legal and Regulatory Affairs with response to external investigations and inquiries.  

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