Senior Manager, PCG Surveillance Compliance

Senior Manager, PCG Surveillance Compliance

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Under intermittent supervision and with significant autonomy, uses extensive knowledge and skills obtained through education, experience, and specialized training in the securities or banking industry compliance to integrate compliance and operational strategies into programs and processes. This role is responsible for driving the tactical and strategic success of the firm’s Compliance Surveillance program, including overseeing the business management function for the Surveillance & Analytics team.

Reporting to the SVP, Dept Mgr. of PCG Surveillance Compliance, the position focuses on developing and maintaining operational reporting and controls, designing efficient workflows, and implementing process improvements that enhance governance and risk oversight. A key responsibility includes coordinating across verticals within the organization to ensure timely and accurate execution of deliverables. The role requires strong analytical capabilities, strategic thinking, and the ability to maintain confidentiality using firm-approved processes, platforms, and tools.

• Design and implement workflows and processes derived from data provided by compliance teams to support enterprise-wide objectives.
• Develop and maintain project tracking frameworks and templates for PCG Compliance verticals to ensure consistency and efficiency.
• Create dashboards and reporting solutions that summarize key metrics and trends for leadership review.
• Perform human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff.
• Plan, assign, monitor, review, evaluate, and lead the work of others.
• Coach and mentor subordinates, identify training needs, and recommend appropriate development programs.
• Partner with the Data Analytics team to create reports and other visuals from output of the analytics program.
• Oversee compliance exception reporting processes and approve corrective actions.
• Ensure effective coordination within the assigned work group and with other work groups.
• Identify and recommend solutions to automate and streamline functions that improve the operational efficiency of compliance systems.
• Serve as a compliance liaison on various committees and projects that represent the department’s interests.
• Attend and deliver presentations at industry conferences.
• Periodically report on compliance and operational issues.
• Assist in preparing the operational budgets for the assigned functional area.
• Balance conflicting resource and priority demands.
• Coordinate team events and meetings.
• Assist the department manager with preparation of key governance, working group, and leadership meetings.
• Perform other duties and responsibilities as assigned.

• 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.

• Planning and scheduling work to meet regulatory organizational and regulatory requirements.
• Preparing oral and/or written reports.
• Making rule-based and analytical decisions.
• Strong verbal and written communication.
• Operating standard office equipment and using required software applications.

• Manage, coach and mentor others.
• Partner with other functional areas to accomplish objectives.
• Facilitate meetings ensuring that…