Compliance Program Advisor Senior- Capital Markets

PNC•Pittsburgh, PA

1d•Onsite

About The Position

At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a Compliance Program Advisor, Senior- Capital Markets within PNC’s Retail Organization you will be based in Pittsburgh, PA; Philadelphia, PA or Cherry Hill, NJ. The Compliance Program Advisor Senior will be supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. The qualified candidate should have the following: Capital Markets and or Broker Dealer experience FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public finance compliance experience. 10+ years of industry experience In addition to the job description below, the Compliance Program Advisor will also be responsible for the following: - Coordinating regulatory compliance efforts for PNC’s organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to the groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis with a preferred focus on our Public Finance business line - Designing and implementing compliance monitoring activities over sales and trading practices. - Leading the communication and socialization of Compliance Program objectives in the Public Finance Line of Business Senior Management and other business partners. - Supporting key initiatives by analyzing data to identify compliance risks. - Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalates identified risks to Line of Business Senior Management. - Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. - Developing and delivering regulatory compliance training to personnel on an ongoing basis. - Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Serves as a trusted advisor to business leadership on compliance matters. Provides resolutions to manage and mitigate the identified risks. Works collaboratively with partners in the line of business, legal, audit and other risk disciplines across the organization. Proactively identify and raise compliance concerns as they relate to key business initiatives. Draws on industry knowledge related to current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Communicates and socializes compliance program objectives to senior business partners. Independently challenges analyses and formulates insightful recommendations. Reviews compliance reports to identify deeper issues and common themes. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Mentors and coaches junior staff on report analysis techniques as applicable. Updates and implements new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.

Requirements

Capital Markets and or Broker Dealer experience
FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public finance compliance experience.
10+ years of industry experience
Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions.
Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.
Bachelors degree
Industry relevant experience is typically 8+ years.

Nice To Haves

FINRA regulatory licenses (series 24 or 53)

Responsibilities

Coordinating regulatory compliance efforts for PNC’s organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to the groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis with a preferred focus on our Public Finance business line
Designing and implementing compliance monitoring activities over sales and trading practices.
Leading the communication and socialization of Compliance Program objectives in the Public Finance Line of Business Senior Management and other business partners.
Supporting key initiatives by analyzing data to identify compliance risks.
Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalates identified risks to Line of Business Senior Management.
Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.
Developing and delivering regulatory compliance training to personnel on an ongoing basis.
Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified.
Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices.
Serves as a trusted advisor to business leadership on compliance matters.
Provides resolutions to manage and mitigate the identified risks.
Works collaboratively with partners in the line of business, legal, audit and other risk disciplines across the organization.
Proactively identify and raise compliance concerns as they relate to key business initiatives.
Draws on industry knowledge related to current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
Communicates and socializes compliance program objectives to senior business partners.
Independently challenges analyses and formulates insightful recommendations.
Reviews compliance reports to identify deeper issues and common themes.
Escalates issues through proper governance channels as needed, and recommends corrective action plans.
Mentors and coaches junior staff on report analysis techniques as applicable.
Updates and implements new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.

Benefits

medical/prescription drug coverage (with a Health Savings Account feature)
dental and vision options
employee and spouse/child life insurance
short and long-term disability protection
401(k) with PNC match
pension and stock purchase plans
dependent care reimbursement account
back-up child/elder care
adoption, surrogacy, and doula reimbursement
educational assistance, including select programs fully paid
a robust wellness program with financial incentives
maternity and/or parental leave
up to 11 paid holidays each year
9 occasional absence days each year, unless otherwise required by law
between 15 to 25 vacation days each year, depending on career level; and years of service