Sr. Advisor, PCG Compliance

Job Description Summary

Monitor and analyze the organization's operational risk exposure, and contribute to the development of operational risk policies. Analyze existing processes, procedures and systems and advise on improvements.



Under general supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm’s PCG Compliance program. Responsibilities include but are not limited to providing advice and guidance on industry rules, regulations, and firm policies, providing compliance education to new and existing PCG branch associates, conducting various surveillance reviews, working on ad hoc projects, and facilitating meetings with team members and other business partners. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

Job Description

Job Summary

Under general supervision and with a high level of autonomy, uses extensive knowledge and skills obtained through education, experience, specialized training and/or certification to ensure the tactical and strategic success of the firm’s PCG Compliance program. Responsibilities include but are not limited to providing advice and guidance on industry rules, regulations, and firm policies, providing compliance education to new and existing PCG branch associates, conducting various surveillance reviews, working on ad hoc projects, and facilitating meetings with team members and other business partners. Works independently on difficult assignments that are broad in nature and that require originality and ingenuity with appreciable latitude for unreviewed actions or decisions. Provides comprehensive solutions to complex problems. Maintains extensive contact with internal customers to identify, research, analyze and resolve complex issues.

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, Division Supervision, and Division Management partners.

• Consults with other business units on compliance-related matters.

• Conducts various surveillance reviews. 

• Facilitates meetings with Division business partners and others.

• Works on ad hoc projects.

Knowledge, Skills, and Abilities

Knowledge of:

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

• 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.

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

• Principles of finance and securities industry operations.

• Financial markets and products. 

Skill in:

• Overseeing compliance programs. 

• Assessing facts and circumstances and determining when to escalate a matter or research further

• 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 delivering written and oral presentations. 

• Investigating relevant irregularities.

• Making rule-based and analytical decisions.

• Delivering complex and/or difficult messages

• Operating standard office equipment and using required software applications.

Ability to:

• Partner