Role overview
Location: United States
Employment type: Full-time
Pay: $64,285 - $102,855/year
About the position
Support the Personal Financial Counselor (PFC) program's financial disclosure and conflict of interest processes. This role coordinates the collection, preliminary review, tracking, and reporting of Personal Financial Counselor Financial Disclosure Reports (PFDRs), helping maintain accurate records and consistent compliance processes.
Work with Regional Supervisors, Compliance Coordinators, and Program Leadership to support timely submissions, secure documentation, and audit readiness. Final compliance determinations remain outside this role's scope.
Core responsibilities
- Documentation and file management, 30%: Collect, organize, and maintain financial disclosure and conflict of interest records. Support secure storage, retention, reporting, and audit preparation.
- Preliminary review and quality checks, 25%: Review submissions for completeness, accuracy, inconsistencies, and missing information. Coordinate corrections and follow-up with the appropriate teams.
- Compliance tracking, 20%: Maintain databases and tracking tools covering submissions, review progress, corrections, resubmissions, follow-up outcomes, annual recertification, and new hire compliance status.
- Reporting support, 15%: Prepare draft reports and supporting information for weekly, monthly, annual, and ad hoc leadership and stakeholder reporting.
- Retention and process support, 10%: Monitor retention schedules, coordinate record disposition according to policy, follow up on outstanding documentation, and identify opportunities to improve record consistency and compliance workflows.
Required qualifications
- A bachelor's degree, with Business Administration listed as the required field, or an acceptable combination of education and relevant work experience.
- 2+ years of related compliance experience.
- Experience collecting, organizing, maintaining, and safeguarding sensitive information under applicable program, regulatory, contractual, privacy, security, or internal requirements.
- Experience reviewing records for completeness, accuracy, inconsistencies, and necessary follow-up.
- Ability to maintain accurate logs, databases, status summaries, and draft reports while meeting deadlines.
- Proficiency with Microsoft Excel, Word, Outlook, Teams, and SharePoint.
- Strong written and verbal communication skills and the ability to coordinate professionally across counseling, supervision, compliance, operations, quality, training, and leadership teams.
- Discretion, confidentiality, and adherence to record retention and security requirements.
- Lean Six Sigma White Belt certification.
- Public Trust security clearance.