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Compliance Analyst


OK, Tulsa

Job type:


Job Description

This position will be an integral part of developing and implementing a robust North American Home Compliance Program. This individual is responsible for providing compliance advice and guidance, developing written policies and procedures, and conducting subject matter training, with a main focus on residential and small commercial consumer activities which are subject to state/federal consumer protection regulations and insurance/services industry regulations.  This position will report to the Manager, Compliance, and will regularly interact with all levels of the company.



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


  • Three to five (depending on level) plus years professional experience.
  • Working knowledge of State/Federal Consumer Protection requirements regarding:
    • Retail energy
    • Annuities & licensing (particularly RESPA)
    • Advertising
    • Door-to-door sales, telemarketing, e-commerce
    • General contracting legal principles
  • One to three plus years of relevant U.S. or Canadian regulatory, legal, auditing or internal control work experience.  Commodity and Home Services sector preferred. 
  • One plus years relevant experience in regulatory interpretation and guidance, conducting investigatory interviews or audits (Commodity and Home Services 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 preferred.

Additional Knowledge, Skills, Abilities:

  • General knowledge of ethics and compliance concepts, such as standards of conduct, business ethics, industry best practices, anonymous reporting of suspected violations, auditing and monitoring for compliance and issues and complaint resolution.
  • General knowledge of Federal Sentencing Guidelines, Energy Policy Act of 2005 or the Canadian Competition Act, Insurance and Home services regulations etc. 
  • General knowledge of industry regulatory rules and regulations, state regulatory requirements and administrative procedures or the Competition Bureau of Canada, the Alberta Market Surveillance Administrator, the Alberta Utilities Commission, the Alberta Electric System Operator and the Ontario Market Surveillance Panel of the Ontario Energy Board.
  • 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 analyze large amounts of 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


  • Provide day-to-day support of compliance initiatives including but not limited to:
    • Ensures compliance procedures are appropriately documented. 
    • Acts as a subject matter contact for industry regulations.
    • Provides answers to employee questions about company policies, procedures and standards and escalate to Compliance management or other functional areas as needed.
    • Assists with compliance training program; including but not limited to managing training groups, course assignments, communications and reporting.
    • Reviews sales and marketing materials, scripts, training, and processes for compliance with applicable federal and state laws and Commission regulations and orders.
    • Assists with investigation of third party complaints and review of business responses to regulators.
    • Assists External Affairs with response to external investigations and inquiries.
    • Tracks and reports current status of training and policy acknowledgements, incidents, inquiries and other metrics as required.
    • Assists with compliance awareness campaigns.
  • Working with Compliance team members, tracks, documents, interprets (with assistance of Legal and External Affairs) and implements applicable legal and regulatory requirements, enforcement trends and developments.  Assimilates results to incorporate with the following responsibilities:
    • Reviewing, updating, archiving and publishing Direct Energy policies, standards and procedures, as appropriate. 
    • Updating the compliance training modules
    • Drafting and disseminating communications to business stakeholders
  • Other duties as assigned.

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