Job: COMPLIANCE INFORMATION SYSTEMS ASSOCIATE

Location: Philadelphia, PA

POSITION SUMMARY

This role will be responsible for the management and day-to-day administration of retail compliance-based information systems and their optimization and integration into core business back office technologies.  The candidate filling this role will provide project management oversight and supervision for key PCG Compliance-based technology initiatives and liaise across departments (IT, HR, Operations, Finance, Private Client, Capital Markets, Wealth Management) to immerse themselves in technology initiatives to gain an understanding of the business goals and to ensure compliance and regulatory risks are addressed and escalated appropriately.

DUTIES AND RESPONSIBILITIES

• Retain working knowledge of technology in support of compliance activities in a financial services organization.
• Keep abreast of business, operational and technology issues and initiatives that may affect compliance.
•  Possess good knowledge of technology in support of the litigation process, e-discovery process, and general knowledge of the records retention process.
• Support data production necessary for regulatory exams and inquiries. 
• Hold good audit and controls expertise and the ability to support audit projects.
• Have working knowledge of Business Continuity and Disaster Recovery programs.
• Establish and maintain the PCG Compliance Information System Control Matrix - this will involve instituting and managing controls around a series of key compliance-based information system risk areas and the oversight and quality assurance of controls on these areas.
• Oversee multiple large scale projects, with strong strategy, systems integration and program management skills.
• Manage and work with various vendors and partner with internal groups to deliver solutions.
• Maintain a strong voice in support of a compliance integrated business strategy and technical solutions, with ability to use influence to gain consensus among multiple constituents.
• Drive projects efforts to a successful conclusion.

QUALIFICATIONS AND COMPETENCIES

• A Bachelor’s degree plus at least five years of relevant experience.
• Ability to build and maintain strategic partnerships with peers and colleagues across all areas of the Firm.
• Superior interpersonal and partnership skills and the ability to positively influence outcomes, particularly in difficult matters.
• Exceptional verbal and written communication skills; ability to communicate at all levels of the organization.
• Highly motivated with capability to work with minimum supervision on a wide range of matters.
• Proactive individual with demonstrated ability to meet deadlines and extraordinary attention to detail.
• Strong ability to prioritize and multi-task effectively under pressure. Excellent organizational and time management skills are essential.
• Experience interacting with demanding stakeholders at all levels of management.
• Series 7, 24 registration preferred
• Familiar with the basic tenets of Six Sigma and ability to apply its principals preferred.

 

More Info and Application

Janney Montgomery Scott LLC is an equal opportunity employer