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The Governance Director manages the administration of and governance routines associated with written supervisory procedures, heightened supervision and conduct, and other routines as assigned/developed. Acts as a liaison with certain partners to respond to regulatory inquiries. Implements strategic direction and develops tactical plans and completes complex assignments with substantial latitude. Provides comprehensive solutions to escalated problems or needs. Leads a team that is responsible for researching, analyzing, and/or resolving complex supervisory matters. Will coach and develop the team, while building a sense of community within the team across the varying sites and locations in which associates work.
Essential Duties and Responsibilities:
• Manages department, staff, budget, reporting structure and division of responsibilities, including but not limited to company-wide supervision program, activity/exception review, continuing education, and complaint review/response, identify and manage regulatory risks associated with specific division/department assigned.
• Performs human resource management activities, including identifying performance problems and approving recommendations for remedial action; identifying training needs, evaluating performance; and interviewing and selecting staff.
• Coaches and mentors subordinates, identifies training needs and recommends development programs.
• Plans, assigns, monitors, reviews, evaluates and leads the work of associates.
• Coordinates with key stakeholders to fulfill internal and/or external exam requests.
• Assists in drafting external regulatory responses on behalf of PCG Supervision.
• Serves as a subject matter expert by maintaining proficient knowledge of applicable compliance statutory regulations and interpretations for the purpose of creating and maintaining written supervisory procedures.
• Drafts or assists in drafting written supervisory procedures on behalf of PCG Supervision, and leads governance routines associated with the those procedures.
• Acts as a liaison between compliance and supervision for the purpose of vetting compliance policies that impact PCG Supervision.
• Interprets, applies and recommends changes to organizational policies and procedures.
• Ensures effective coordination and communication occurs between supervision, PCG management, compliance, legal and other functional areas.
• Provides support for the heightened supervision and conduct program within PCG Supervision, including program management, governance routines, recommendations or otherwise.
• 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; including sales practices and suitability and other compliance/supervisory issues involved with retail activity.
• Rules and regulations of the Securities Exchange Commission (SEC); Financial Industry Regulatory Authority (FINRA); and state securities regulatory agencies.
• Company’s working structure, policies, mission, and strategies.
• General office practices, procedures, and methods.
• Investment concepts, practices and procedures used in the securities industry.
• Principles of banking and finance and securities industry operations.
• Financial markets and products.
• Project management skills and experience sufficient to successfully complete long and short term projects.
• Operating standard office equipment and using required software applications to produce correspondence, reports, electronic communication, spreadsheets, and databases.
• Excellent writing skills to draft/assist in drafting written supervisory procedures and/or regulatory responses.
• Planning and scheduling work to meet role requirements.
• Advanced skills in preparing oral and/or written reports.
• Excellent Investigation skills to reveal sales practice issues and irregularities.
• Highly analytical.
• Making rule-based and analytical decisions.
• Manage all levels of associates, including technical, professional, clerical, administrative and supervisory associates.
• 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.
• Balance conflicting resource and priority demands.
• Gather information, identify linkages and trends and apply findings to assignments.
• 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.
• Establish and maintain effective working relationships at all levels of the organization.
• Maintain confidentiality.
• Maintain currency in assigned area of responsibility.
Educational/Previous Experience Requirements:
Bachelor’s degree (B.A/B.S.) in a related discipline and minimum (10) years of experience in Supervision and/or the financial services industry.
Any equivalent combination of experience, education, and/or training.
• Appropriate series license(s) for assigned functional area preferred or the ability to obtain within an established timeframe.
• Additional licenses/certifications demonstrating the candidate’s knowledge/expertise in industry regulation and concepts preferred.
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