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Essential Duties and Responsibilities

+ Provides advice and guidance on industry rules, regulations, and firm policies.

+ Provides compliance training to new PCG branch associates.

+ Delivers educational content to PCG branch associates via webinars, and newsletters.

+ Conducts complex research and reports findings to Compliance, Legal, Regional Supervision, and Regional Management partners.

+ Consults with other business units on compliance-related matters.

+ Conducts various surveillance reviews.

+ Works on ad hoc projects.

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.

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

+ Principles of banking and finance and securities industry operations.

+ Financial markets and products.

Skill in:

+ Overseeing compliance programs.

+ Integrating and aligning compliance processes and procedures with business processes.

+ Coordinating complex compliance activities.

+ Providing support and guidance for compliance efforts.

+ Identifying and implementing controls and quality assurance processes.

+ Reviewing materials for compliance with rules and regulations.

+ Researching compliance issues.

+ Developing compliance training programs.

+ Gathering information and preparing oral and written reports.

+ Preparing and delivers written and oral presentations.

+ Investigating relevant irregularities.

+ Making rule-based and analytical decisions.

+ Operating standard office equipment and using required software applications.

Ability to:

+ Provide training, coaching, and mentoring for others.

+ Partner with other functional areas to accomplish objectives.

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

+ Attention to detail while maintaining a big picture orientation.

+ Gather information, identify linkages and trends, and apply findings to assignments.

+ Interpret and apply securities regulations and identify and recommend compliance changes as appropriate.

+ 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.

+ Provide a high level of customer service.

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

+ Maintain confidentiality.

+ Maintain currency in securities and/or banking industry rules and regulations and best practices in compliance.

Educational/Previous Experience Requirements

+ Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of six (6) 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.