**Essential Duties and Responsibilities** + 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. + Performs human resources management activities including identifying performance problems, seeking guidance for remedial action, reviewing performance, as well as participating in interviewing and selecting staff. + Plans, assigns, monitors, reviews, evaluates, and leads the work of others. + Coaches and mentors subordinate, identifies training needs, and recommends appropriate development programs. + Partners with the Data Analytics team to create reports and other visuals from output of the analytics program. + Oversees compliance exception reporting processes and approves corrective actions. + Ensures effective coordination within assigned work group and with other work groups. + Identifies and recommends solutions to automate and streamline functions that improve the operational efficiency of compliance systems. + Serves as a compliance liaison on various committees and projects that represent the department’s interest(s). + Attends and delivers presentations at industry conferences. + Periodically reports on compliance and operational issues. + Assists in preparing the operational budgets for assigned functional area. + Balances conflicting resource and priority demands. + Coordinates team events and meetings. + Assists department manager with preparation of key governance, working group and leadership meetings. + Performs other duties and responsibilities as assigned. **Knowledge, Skills, and Abilities** **Advanced 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. **Advanced Skill in:** + 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. **Ability to:** + Manage, coach and mentor others. + 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. + 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 laws, rules and regulations related to compliance in assigned functional area. + Interpret and apply policies and identify and recommend changes as appropriate. + Quantitatively and/or qualitatively process data. + Formulate and implement department strategies consistent with long-term company goals. **Educational/Previous Experience Requirements** + Bachelor’s Degree (B.A./B.S.) in a related discipline and a minimum of eight (8) years of experience in the financial services industry, compliance, or risk management. ~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.