Description

This position will follow our hybrid work model; we expect the selected candidate to work 3 days a week in-office.

Job Summary:

You will work with a high level of autonomy to coordinate internal and external exams, audits, and tests for PCG Supervision. This will involve partnering with IT and Supervision Centers of Expertise to identify and review data-related requests and maintaining contact with Supervision leadership, Compliance, Internal Audit, and other internal partners. You will also analyze data requests for patterns or trends and escalate any relevant findings. Additionally, you will review and vet responses, documentation, and data with key stakeholders before submitting to internal or external examiners.

Essential Duties and Responsibilities:

• Oversees internal and external exams, audits, test results, etc., on behalf of PCG Supervision.

• Interacts with key supervision leadership, IT, and other units to ensure production requests are fulfilled promptly.

• Engages with the Compliance Regulatory Exam Inquiries Management (REIM) team, Internal Audit, and Compliance Testing to identify production requests and provide those requests timely.

• Reviews production content to identify potential issues, gaps, etc., for resolution and clarity and escalates as needed.

• May assist in drafting responses to internal and external inquiries.

• Remains abreast of regulatory updates to identify linkages and trends.

• Tracks and performs periodic reporting on production requests and exams/tests/audits underway.

• Balances conflicting resource and priority demands.

• May coach, train, and mentor other associates.

• Performs other duties and responsibilities as assigned.

Qualifications

Knowledge, Skills, and Abilities:

Advanced Knowledge of:

• Concepts, practices, and procedures of securities industry compliance.

• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.

• Proficiency in Microsoft Office products

• Advanced knowledge of Excel is required. (Lookups, Pivot Tables, Formulas, Macros, etc.)

• Investment concepts, practices and procedures used in the securities industry.

• Principles of securities industry operations.

• Financial markets and products.

Skill in:

• Data analysis

• Fluent in Microsoft Office applications- Excel (Lookups, Pivot Tables, Formulas, Macros, etc.)

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

• Preparing oral and/or written reports.

• Investigating potential issues and irregularities.

• Strong verbal and written communication.

• Strong organizational skills

• Operating standard office equipment and using required software applications.

Ability to:

• Organize, self-manage and track multiple responsibilities with frequent changing priorities in a fast-paced work environment.

• 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.

• Demonstrates self-motivation and the ability to 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 supervisory functions.

• Interpret and apply procedures and identify and recommend changes as appropriate.

• Promote team cohesiveness, cooperation, and effectiveness

Educational/Previous Experience Requirements:

• Bachelor’s degree (B.A) in a related discipline and a minimum of three (3) years of experience with regulators in Compliance and/or the financial services industry.

or

• An equivalent combination of experience, education, and/or training.

Licenses/Certifications:

• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.

• Series 7, 24, and 66 licenses preferred.

Job: Compliance

Primary Location: US-FL-St. Petersburg-Saint Petersburg

Other Locations: US-MI-Southfield-Southfield, US-TN-Memphis-Memphis, US-CO-Denver-Denver

Organization Supervision

Schedule Full-time

Job Shift Day Job

Travel Yes, 10 % of the Time

Req ID: 2403119