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.