Advisor, PCG Compliance Strategy & Reporting

• Essential Duties and Responsibilities
• + Supports compliance processes, including scheduling, and developing training materials.

+ Assists in coordinating with PCG & Asset Management teams to ensure accurate, complete, and timely status updates are received for issues, regulatory changes, and emerging risks. + Assists in developing compliance training programs, including maintaining training records and coordinating training with other compliance activities. + Assists management with obtaining status updates on compliance programs and activities for compliance management reporting. + Prepares and delivers written and oral presentations to management as needed. + Participates in projects/initiatives as needed. + Performs other duties and responsibilities as assigned.

• Knowledge, Skills, and Abilities

• 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; 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 banking and finance and securities industry operations. + Financial markets and products.

• Skill in:
• + 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. + Preferred PowerPoint and Smartsheet experience + Preparing and delivering written and oral presentations. + Investigating compliance irregularities. + Making rule-based and analytical decisions. + Operating standard office equipment and using required software applications.

• Ability to:
• + Provide a high level of customer service.

+ Partner with other functional areas to accomplish objectives. + Attend to detail while maintaining a big picture orientation. + Interpret and apply securities and/or banking regulations and identify and recommend compliance changes as appropriate. + 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. + 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 securities and/or banking industry rules and regulations and best practices in compliance.

• Educational/Previous Experience Requirements
• + Bachelor's degree (B.A. /B.S.) and two (2) years of general experience. ~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.