The Analyst will support the PCG Supervision Department quality assurance program. This person will work with functional areas and other risk/control areas to monitor the quality of reviews conducted by PCG Supervision and report observations/makes recommendations for enhancements. Maintains routine contact with all stakeholders to identify, research and report issues, patterns, trends, gaps related to the supervisory control environment.
Works independently on difficult assignments that are broad in nature requiring originality and ingenuity and provides comprehensive solutions to complex problems. Leads defined work or projects of moderate scope and complexity. May work on various projects to improve efficiency and drive productivity and quality within Supervision.
Essential Duties and Responsibilities:
- Conducts quality assurance reviews of supervisory processes to assist with early identification of issues and prompt resolution
- Documents, report and present to varying levels of seniority the observations discovered during QA reviews, and recommends actions to be taken in a clear and concise manner
- Acts as a resource and subject-matter-expert regarding quality assurance efforts within Supervision
- Ensures ongoing compliance with firm policy and industry regulatory requirements through the creation and execution of QA plans
- Perform other duties and responsibilities as assigned
Knowledge, Skills, and Abilities:
- Banking, finance, and securities industry operations from the perspective of banks as well as broker/dealers.
- Rules and regulations of the principal regulators for the wealth management business – SEC, FINRA, etc.
- Fundamental investment concepts, practices and procedures used in the securities industry.
- Financial markets and products
- Critical thinking, problem solving, and creativity.
- Written and oral communication, including the ability to effectively communicate complex issues to non-technical persons.
- Presentation capabilities.
- Intermediate Excel and PowerPoint skills
- Manage, coordinate, and facilitate multiple initiatives in a fast paced and dynamic environment.
- Assess, organize, and prioritize multiple tasks and meet deadlines.
- Interpret, analyze, and apply technical information in order to perform job responsibilities.
- Stay abreast of industry best practices, procedures, and techniques.
- Remain adaptable and resilient while working in a sometimes high-stress environment.
- Demonstrate attention to detail while maintaining a big picture orientation.
- Work independently as well as collaboratively within a team environment.
- Establish and maintain effective working relationships at all levels within the organization.
Educational/Previous Experience Requirements:
- Bachelor’s degree (B.A.) in Business Administration, Finance, and/or Accounting with two (2) years of related work experience preferred
- An equivalent combination of education, training and/or experience as approved by Human Resources.
- None required.