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Essential Duties and Responsibilities

+ Design and implement workflows and processes derived from data provided by compliance teams to support enterprise-wide objectives.

+ Develop and maintain project tracking frameworks and templates for PCG Compliance verticals to ensure consistency and efficiency.

+ Create dashboards and reporting solutions that summarize key metrics and trends for leadership review.

+ Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.

+ Plans, assigns, monitors, reviews, evaluates, and leads the work of others.

+ Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs.

+ Partners with the Data Analytics team to create reports and other visuals from output of the analytics program.

+ Oversees compliance exception reporting processes and approves corrective actions.

+ Ensures effective coordination within assigned work group and with other work groups.

+ Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems.

+ Serves as a compliance liaison on various committees and projects that represent the department’s interest(s).

+ Attends and delivers presentations at industry conferences.

+ Periodically reports on compliance and operational issues.

+ Assists in preparing the operational budgets for assigned functional area.

+ Balances conflicting resource and priority demands.

+ Coordinates team events and meetings.

+ Assists department manager with preparation of key governance, working group and leadership meetings.

+ Performs other duties and responsibilities as assigned.

Knowledge, Skills, and Abilities

Advanced Knowledge of:

+ Concepts, practices, and procedures of securities industry and/or banking compliance reviews.

+ Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies; and/or Federal Deposit Insurance Corporation (FDIC); Office of the Comptroller of the Currency (OCC); Federal Financial Institutions Examination Council (FFIEC); Office of Thrift Supervision (OTS); Federal Reserve System; and state banking regulatory agencies.

+ Fundamental investment concepts, practices and procedures used in the securities industry.

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Advanced Skill in:

+ Planning and scheduling work to meet regulatory organizational and regulatory requirements.

+ Preparing oral and/or written reports.

+ Making rule-based and analytical decisions.

+ Strong verbal and written communication.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Manage, coach and mentor others.

+ Partner with other functional areas to accomplish objectives.

+ Facilitate meetings ensuring that all viewpoints, ideas, and problems are addressed.

+ Attend to detail while maintaining a big picture orientation.

+ Work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

+ Use appropriate interpersonal styles and communicate effectively, both orally and writing, with all organizational levels.

+ Work independently as well as collaboratively within a team environment.

+ Establish and maintain effective working relationships at all levels of the organization.

+ Maintain confidentiality.

+ Maintain currency in laws, rules and regulations related to compliance in assigned functional area.

+ Interpret and apply policies and identify and recommend changes as appropriate.

+ Quantitatively and/or qualitatively process data.

+ Formulate and implement department strategies consistent with long-term company goals.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management.

~or~

+ Any equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

+ None Required.

+ Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.