Strategy Governance and Reporting Compliance Manager

** Essential Duties and Responsibilities*
* + Partners with PCG & Asset Management Compliance stakeholders in strategic compliance initiatives related to issues, regulatory changes, or emerging risks.

+ Manages and tracks issues and action plans owned by PCG & Asset Management Compliance from identification to completion to ensure transparency, accountability, and resolution.

+ Interfaces with associates of varying levels of seniority to document and manage issues, regulatory changes, books and records, exam coordination, and emerging risks.

+ Coordinates with Internal Audit, Compliance Testing, Regulatory Exams and Inquiries Management Compliance and Risk Management for issues and action plans identified outside of PCG & Asset Management Compliance.

+ 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.

+ 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.

+ Preparing and delivering written and oral presentations.

+ Investigating relevant irregularities.

+ Making rule-based and analytical decisions.

+ Operating standard office equipment and using required software applications.

+ Creating detailed desk procedures that standardize workflows, enhance process transparency, and support effective execution of controls and regulatory requirements.

+ Working knowledge of Smartsheet, preferred

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

+ Partner with other functional areas to accomplish objectives.

+ Facilitate meetings, ensuring that all viewpoints, ideas, and problems are addressed.

+ Attend to detail while maintaining a big picture orientation.

+ Gather information, identify linkages and trends, and apply findings to assignments.

+ 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.

+ Provide a high level of customer service.

+ 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 a minimum of six (6) years of experience in Compliance and/or the financial services industry preferred.

~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.