KEENIA JOSEPH www.linkedin.com/in/keenia-joseph

Wilton, CT 06897 347-***-**** addxio@r.postjobfree.com

Successful, results-focused, detailed compliance expert with over 15 years of diverse, experience in highly regulated, consumer services industries. Innovative advisor to Board of Directors and senior executives on regulatory matters, developing compliance action plans to mitigate risk and ensure business continuity and compliance. Demonstrated expertise managing due diligence, regulatory proceedings and investigations. Forges solid relationships with key stakeholders building consensus across multiple organizational levels, federal and state regulators, utilities and other relevant agencies. Vetted and managed third-party business partners and outside counsel to ensure goal congruence and policy compliance across all departments.

Regulatory Compliance Training Teambuilding Policy & Procedures Communication

PROFESSIONAL EXPERIENCE

INDRA ENERGY, Brooklyn, NY 2019 - 2020

VP, Regulatory and Compliance

Managed all aspect of regulatory and compliance functions. Provided directions and risk analysis for laws, rules and regulations affecting the company. Strategic support for business development.

Compliance> Oversaw compliance policies and procedures. Overhauled internal processes that led to increased productivity, reduced service costs and refunds. Advised staff on responding to regulatory and customer concerns. Coached staff and implemented matrix to achieve compliance obligations.

Regulatory> Researched, assessed and advised management on federal and federal regulations impact on business.

Risk Assessment> Established and formalized policies and procedures for effective assessment and risk mitigation across multiple departments. Revamped and executed communication action plans that boosted reputation with regulatory agencies. Enhanced refund strategy leading to over $20,000 customer refunds in two weeks.

CALPINE CORPORATION / NORTH AMERICAN POWER AND GAS, Norwalk, CT 2012 - 2019

Director, Regulatory Affairs

Headed regulatory department with operations in 13 states served over 350, OOO rolling customers with two million customers through lifecycle of organization. Streamlined monitoring of federal, state and local regulations. Oversaw compliance obligations for retail energy industry. Cultivated and maintained strong relationships with all levels of industry stakeholders. Successfully led company through regulatory inquiries and investigations from public utility commissions, State Attorney Generals, and state consumer protection agencies. Spearheaded rulemaking and regulatory proceedings. Appraised and advised on marketing strategy and collateral. Oversaw auditing processes and compliance. Managed all licensing and reporting obligations. Supervised direct and indirect reports, vendors, legal counsel, lobbyist and consultants. Maintained department budget.

Compliance> Mitigated over $10 million in fines and penalties by implementing procedures for market entry, rule changes, review and approval of marketing and sales collateral.

Established Regulatory Department> Revamped regulatory and compliance operations leading to full compliance. Streamlined monitoring and filing processes. Enhanced compliance strategy resulting in sanction mitigating over $100,000.

Risk Management > Managed regulatory due diligence for annual reviews, mergers and acquisition. Established and audited controls to ensure internal and third-party vendor compliance with business policies increasing compliance and reducing regulatory risks. Ongoing evaluation of policies and procedures to ensure compliance and best in practices operations.

MXENERGY INC / CONSTELLATION ENERGY, Stamford, CT 2007 - 2012

Paralegal

Provided extensive support to General Counsel in managing regulatory compliance in 15 states and two Canadian provinces for over 500,000 residential customers. Reviewed, disseminated and managed all retail energy regulations and laws. Prepared, reviewed and filed state licenses and authorities to do business in multiple states and Canada. Managed federal and state regulatory reporting obligations in multiple states. Maintained corporate books for shareholders and Board of Directors for parent company and two subsidiaries. Drafted, filed and maintained governing documents and amendments. Accounted for the issuance / transfer of company equity through options and warrants. Performed regulatory due diligence, researched and advised on regulatory requirements for mergers and acquisition transactions. Managed direct report, outside counsels and vendors.

Corporate Governance > Managed all aspects of corporate record keeping, options and warrants. Maintained and managed SEC registration and filings.

Contract Management > Established centralized repository and tracking system for customer contracts. Reviewed and enhanced contract compliance with applicable laws and regulations. Improved and implemented controls on versioning and document management. Drastically reduced customer refunds and contracting inaccuracies, resulting in improved customer experiences and enhanced regulator perceptions of company reputation.

Compliance Monitoring> Researched rules and advised on marketing strategy and collateral. Monitored consumer complaints, quality control and quality assurance for vendors, sales agents, customer complaints, internal and external compliance concerns.

MORGAN STANLEY, Purchase, NY 2004 - 2007

Paralegal

Supported Managing Director in compliance and paralegal functions covering high income investment bankers. Partnered to produce legal documentation related to litigation, talent acquisition, employee relations, performance management and employee terminations. Updated manuals to reflect legal changes and worked with staff to ensure compliance.

NATIONAL HOCKEY LEAGUE, NY. 2000 - 2004

Assistant to Human Resources Director

Supported all aspect of the HR department. Managed I-9 forms, attendance reporting and tracking. Assisted with the roll out of new programs. Maintained employee personnel records. Liaised with Commissioner’s office, legal department and other functional departments.

EDUCATION AND LICENSES

BERNARD BARUCH COLLEGE, New York, NY

Bachelor of Arts (BA) in Corporate Communications

MERCY COLLEGE, White Plains, NY

Paralegal Studies Certificate

Previously held life insurance, property and causality licenses.

TECHNOLOGY

Microsoft Word Microsoft Excel Westlaw LexisNexis SharePoint FTP

Contact this candidate