Advisor – PCG Compliance

Advisor – PCG Compliance

Requirements

• Knowledge of concepts, practices, and procedures of securities industry compliance reviews.
• Knowledge of 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.
• Knowledge of fundamental investment concepts, practices and procedures used in the securities industry.
• Knowledge of principles of securities industry operations.
• Knowledge of financial markets and products.
• Skill in monitoring compliance programs.
• Skill in integrating and aligning compliance processes and procedures with business processes.
• Skill in coordinating complex compliance activities.
• Skill in providing support and guidance for compliance efforts.
• Skill in identifying and implementing controls and quality assurance processes.
• Skill in reviewing materials for compliance with rules and regulations.
• Skill in researching compliance issues.
• Skill in developing compliance training programs.
• Skill in gathering information and preparing oral and written reports.
• Skill in preparing and delivering written and oral presentations.
• Skill in investigating compliance irregularities.
• Skill in making rule-based and analytical decisions.
• Skill in operating standard office equipment and using required software applications.
• Ability to attend to detail while maintaining a big picture orientation.
• Ability to gather information, identify linkages and trends, and apply findings to assignments.
• Ability to interpret and apply securities regulations and identify and recommend compliance changes as appropriate.
• Ability to work under pressure on multiple tasks concurrently and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.
• Ability to use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all organizational levels.
• Ability to work independently as well as collaboratively within a team environment.
• Ability to provide a high level of customer service.
• Ability to establish and maintain effective working relationships at all levels of the organization.
• Ability to maintain confidentiality.
• Ability to maintain currency in securities industry rules and regulations and best practices in compliance.

Responsibilities

• Assists in overseeing compliance program(s) for an assigned business entity to ensure compliance processes and procedures are integrated and aligned with business processes.
• Supports a specific Business Unit.
• Adjusts existing programs, policies, and procedures, as directed.
• Provides support and guidance for compliance efforts in assigned business entity.
• Assists management in implementing adequate controls and quality assurance processes to provide early identification of potential compliance problems.
• Assists in researching compliance issues.
• Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities.
• Reports compliance program status and activities to compliance management.
• Assists with external compliance examinations, including gathering requested information and reports.
• Prepares and delivers written and oral presentations to business units.
• Performs other duties and responsibilities as assigned.

Preferred Qualifications

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