Compliance Manager, PCG

Job Title

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 :

Ability to :

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.