Director, PCG Compliance Testing

Essential Duties and Responsibilities

• Supervises compliance tests by reviewing applicable regulations and firm policies/procedures, conducting interviews with key contacts, conducting test execution, identifying issues, and issuing final reports.

• Manages enhancements and changes to the Compliance Testing Framework and provides training and guidance to Compliance Testing associates on key risks, audit methodologies, and testing skills.

• Oversees multiple testing engagements concurrently from planning through reporting and produces quality deliverables.

• Collaborates across Compliance teams to maintain a risk-based Compliance Testing program in accordance with the program manual.

• Ensures the finalization of test issues and action plans, communicates test findings to management in the design and effectiveness of compliance controls.

• Identifies changes and assist with managing the execution of annual and quarterly updates to the testing plan.

• Possesses strong project management and interpersonal skills, makes sound decisions, exhibiting initiative and intuitive thinking.

• Coaches, trains, and mentors less experienced Compliance Specialists.

• Directs compliance associates including potentially assisting in the talent selection process. Reviews the policies, procedures, and test findings produced by other compliance associates.

• Ensures that compliance activities are commensurate with the level of risk being mitigated.

• Researches compliance program components. Makes risk-based recommendations to management using industry knowledge and subject matter expertise.

• Leads reporting of compliance assurance activities including program status, plans and activities to compliance and business management and relevant committees.

• Plays role of point of contact for all requests for assurance regulatory exams and internal audits.

• Prepares and delivers written and oral presentations to management.

• Establishes and maintains strong relationships with management.

• Uses communication skills to influence a wide range of internal audiences.

• Possess project management skills.

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.

• Section 404 of the Sarbanes-Oxley Act of 2002.

• Financial markets and products.

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

Advanced skill in:

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

• Investigating compliances issues and irregularities.

• Making rule-based and analytical decisions.

• Identifying and applying appropriate compliance procedures and tests.

• Written and verbal communications skills sufficient to professionally address a wide and varied audience both internally and externally.

• Preparing oral and/or written reports.

• Project management skills and experience sufficient to successfully complete long and short-term projects.

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, spreadsheets, and databases.

Ability to:

• Work under pressure on multiple tasks concurrently, manage those delegated; and meet deadlines in a fast-paced work environment with frequent interruptions and changing priorities.

• Attention to detail while maintaining a big picture orientation.

• Use appropriate interpersonal styles and communicate effectively and professionally, both orally and in writing, with all organizational levels to accomplish objectives.

• Establish and communicate clear directions and priorities.

• Gather information, identify linkages and trends, and apply findings to operations.

• Maintain currency in laws, rules and regulations related to compliance in assigned functional area (s).

• Plan, assign, monitor, review, evaluate and lead the work of others, coach, and mentor others.

• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.

• Work independently as well as collaboratively within a team environment to resolve problem.

Educational/Previous Experience Requirements

• Bachelor’s Degree (B.A./B.S.) in a related discipline required with a Master’s degree preferred. Minimum of ten (10) years of Compliance, Legal, Banking and/or regulatory experience in the financial services industry.

• Minimum five (5) years management experience within the financial services industry.

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.