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Manager, Compliance


TX, Houston

Job type:


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 for Direct Energy.  This individual is responsible for helping manage internal and external compliance reporting, providing compliance advice and assistance, conducting compliance investigations, and managing compliance education programs for our energy, home services, and home warranty businesses.  This position will report to the Director, Compliance and will interact with all levels of the company.



  • Five to seven (depending on level) plus years professional experience. 
  • Three plus years of relevant U.S. and/or Canadian regulatory, legal, auditing or internal control work experience.  Energy sector preferred. 
  • Three plus years relevant experience in conducting investigatory interviews or audits (energy or other commodity industry a plus) or one plus years relevant experience in identifying risks, testing control effectiveness or analyzing business processes.
  • One plus years of project management experience.
  • Experience with franchise law or home services laws (e.g. licensing for electricians, plumbers, HVAC services) a plus

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


  • Provide answers to employee questions about retail energy regulations, home services, and home warranty products;  company policies; and procedures and compliance standards
  • Provide advice and assistance relating to rules that apply to DE operations, customer care, data privacy, and other technical requirements
  • Review and provide business approvals as outlined in the Compliance Policies; collaborate with regulators to obtain required Commission approvals.
  • Analyze and evaluate impact of regulation changes; develop and execute training to communicate changing requirements to the business; work with affected departments to implement processes and strategies to ensure requirements are met.
  • Ensure all compliance procedures are appropriately documented
  • Assist with investigation of third party complaints and review of business responses to regulators and media.
  • Conduct research and provide guidance for new market entries
  • Build and maintain relationships with local key stakeholders to detect and address emerging issues, provide support and resolve concerns in a timely manner
  • Draft and disseminate communications to business stakeholders
  • Manage a team of Advisors, including activities to mentor and develop skills and competencies
  • Creates and maintains a collaborative and empowered team that provides timely, efficient and effective compliance support to his/her business units.
  • Strong communicator who translates compliance matters into concise and credible messages.
  • Superior listener who is persuasive, poised and articulate.
  • Business maturity coupled with the highest integrity.
  • True collaborator who maintains a balanced view of the business and can effectively push back on all levels of management, providing candid and honest assessments.
  • Ensure that health, safety and environment objectives and targets are met with the Compliance team in North America.

Additional Knowledge, Skills and Abilities:

  • In-depth knowledge of compliance concepts, such as standards of conduct, business ethics, anonymous reporting of suspected violations, auditing and monitoring for compliance and issues and complaint resolution.  
  • In-depth knowledge of retail energy and/or home warranty regulatory rules and regulations in the United States and Canada;
  • In-depth knowledge of federal and provincial privacy laws; Canada’s Anti-Spam Legislation
  • 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 including report writing 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
  • 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 frequently changing requirements and meet deadlines
  • Works well within a self-directed, team-based environment
  • Ability to contribute as individual contributor in addition to managing others

The IndividualDirect Energy and its subsidiaries are an Equal Opportunity Employer - EOE AA M/F/Vet/Disability
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