Compliance Analyst Senior - Operations and Planning

JOB SUMMARY

The Operations and Planning (O&P) Compliance role supports ERCOT's adherence to NERC Operations and Planning Reliability Standards and ERCOT Nodal Protocols, Operating Guides, and Other Binding Documents. The position collaborates with internal teams within the organization to identify and assess internal controls, consider compliance risks, and conduct remediation to ensure compliance with Federal Energy Regulatory Commission orders, North American Reliability Corporation Reliability (NERC) Standards, Regional Reliability Standards, ERCOT Nodal Protocols and Operating Guides, and corporate objectives (“requirements”). This role works closely with ERCOT personnel to identify the documentation and other controls related to the various requirements and ensures policies and procedures are in place to demonstrate compliance with requirements. This position acts as the primary liaison between the organization’s staff, regulatory agencies, and external auditors.

JOB DUTIES

Level 2

• Applies analytical and problem-solving skills to independently identify compliance risks and develop effective solutions.
• Uses compliance methods and tools to monitor and report on compliance with requirements, with moderate independence.
• Acts as a resource to advise process owners on improving processes and compliance posture.
• Works with assigned groups to develop, implement, and manage routine operations reports relevant to documenting and demonstrating performance compliance to requirements.
• Assists business process owners with oversight of remediation of issues resulting from internal and external audits, compliance investigations, and control assessments.
• Prepares ERCOT staff and documentation for NERC, Texas RE, and other external audits; maintains documentation of business processes and related internal controls; participates in audits as needed.
• Develops and maintains analytical documentation comparing current and revised NERC Operations and Planning Reliability Standards, ERCOT Nodal Protocols, Operating Guides, OBDs, and ERCOT policies; aligns obligations with internal controls, including business processes and procedures.
• Prepares and maintains NERC Reliability Standard Audit Worksheets (RSAWs), narratives, evidence, and internal controls for assigned Standards, coordinating with subject matter experts.
• Uses the Archer GRC platform to monitor, review, and assess the design and operational effectiveness of internal controls mapped to Reliability Standards and ERCOT Nodal Protocols requirements.
• Supports ERCOT's representation with NERC and Regional Standards Committees through participation on drafting teams or submission to development efforts.
• Develops or monitors recommendations providing guidance on NERC standards and ERCOT Regional Reliability standards directly impacting ERCOT systems, capabilities, and reliability.
• Participates in activities of developing or revising NERC Operations and Planning Reliability Standards, ERCOT Nodal Protocols, Operating Guides, and OBD provisions with ERCOT committees as applicable.
• Supports performance and Ancillary Services monitoring under ERCOT Nodal Protocols Section 8 and Nodal Operating Guides Section 9, including reporting to the Reliability Monitor.
  
  Level Senior
• Coordinates and communicates on NERC Operations and Planning Reliability Standards, ERCOT Nodal Protocols, Operating Guides, and OBDs provisions with ERCOT committees and Board of Directors as needed.
• Develops and manages the process to collect and submit ERCOT feedback on NERC Operations and Planning Standards postings.
• Evaluates and maintains the relevance of traces from ERCOT Nodal Protocols, Operating Guides, OBDs, NERC Operations and Planning Reliability Standards, and corporate objectives to other ERCOT documentation.
• Facilitates the development of internal training regarding external audits and associated business processes and controls.
• Assists with coordination of external audits, including acting as a primary liaison between ERCOT staff and the auditors
• Updates compliance tools, tracks effort and progress of audits and investigations, and manages library of audit documentation
• Communicates technical compliance information effectively to both technical and non-technical audiences and works effectively across cross-functional teams.
• Documents and tracks potential compliance issues (self-logs and self-reports) and responds to Requests for Information (RFIs) from regulators.

EXPERIENCE

• Level 2: Requires 2 years related work experience
• Level Senior: Require 5 years related work experience
• Prefer experience with NERC Operations and Planning Reliability Standards and the ERCOT Nodal Protocols, Operating Guides, and OBDs.
• Prefer experience with Bulk Electric System (BES) operations and/or planning, NERC compliance monitoring, RSAW and evidence development, and Texas Reliability Entity and/or NERC audits.
• Prefer experience with SQL, Cognos, Python, or other data analysis platforms

EDUCATION

• Bachelor's Degree: Engineering, Computer Science, Business, Accounting, Auditing or related field (Required)
• or a combination of education and experience that provides equivalent knowledge to a major in such fields is required

CERTIFICATION

• CCEP Certified Compliance Ethics Professional (Preferred)
• NERC System Operator Certification (Preferred)

The foregoing description reflects the minimum qualifications and the essential functions of the position that must be performed proficiently with or without reasonable accommodation for individuals with disabilities.  It is not an exhaustive list of the duties expected to be performed, and management may, at its discretion, revise or require that other or different tasks be performed as assigned.  This job description is not intended to create a contract of employment with ERCOT.  Both ERCOT and the employee may exercise their employment-at-will rights at any time.

ERCOT is firmly committed to equal employment for all qualified persons without regard to race, sex, medical condition, religion, age, creed, national origin, citizenship status, marital status, sexual orientation, physical or mental disability, ancestry, veteran status, genetic information or any other protected category under federal, state or local law.

Expected Salary Range:

$108,000 - $148,000