Compliance Manager, PCG

Compliance Advisor

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.