Compliance Program Manager Senior - Enterprise Compliance-AMG

PNC Financial Services Group, Inc.•Dallas, TX

63d•$80,000 - $201,000•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 Manager Senior within PNC's Enterprise Compliance - AMG organization, you will be based in Pittsburgh, PA, Cleveland, OH, Tysons Corner, VA, Houston, TX, Dallas, TX, Raleigh, NC, Philadelphia, PA or Birmingham, AL. This position is primarily based in a PNC location. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Oversee and manage Enterprise Compliance-AMG's program over PNC Private Bank. Program includes following areas of expertise: Administration of personal fiduciary accounts (trusts, estates, investment management, IRAs, etc.) Knowledge of 12 CFR 9, state trust and fiduciary laws, uniform trust code Specialized administration (Special Assets, fiduciary tax requirements) Support requirements for PNC Delaware Trust Company and PNC Ohio Trust Company Manage aspects of program including Independent compliance risk assessments Testing and monitoring Initiative coverage Issue identification and challenge Applicable committee representation Knowledge of compliance requirements and related controls Challenge of business policies and procedures Interact with regulators (OCC, State of DE and State of Ohio) as examined or as needed Manage a team of compliance specialists to execute on program PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices. Trains, monitors, and manages junior staff and remediates any issues. Constructively challenges conclusions/status quo and uses established credibility to influence customers. Supports key business initiatives by drawing conclusions from data to identify compliance risks. Presents resolutions to manage and mitigate the identified risks to business partners. If necessary, escalates identified risks to senior team members. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization. May include developing, facilitating, and conducting Compliance training programs for junior staff. Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to senior leadership. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Manages regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. Directs the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Identifies and defines the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to executive level business partners and junior staff, as applicable. Independently challenges analyses and formulates value-added recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed. Completes a final review of compliance reports to identify common themes and widespread trends. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Proposes revisions and implementation strategy for 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. PNC also has fundamental expectations of our people managers. As a manager of talent in PNC, you will be expected to: Include Intentionally - Cultivates diverse teams and inclusive workplaces to expand thinking. Live the Values - Role models our values with transparency and courage. Enable Change - Takes action to drive change and innovation that will transform our business. Achieve Results - Takes personal ownership to deliver results. Empowers and trusts others in decision making. Develop the Best - Raises the bar with every talent decision and guides the achievement of all employees and customers.

Requirements

Roles at this level typically require a university / college degree.
Higher level education such as a Masters degree, PhD, or certifications is desirable.
Industry experience is typically 8+ years.
At least 5 years of prior management experience is typically required.
In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Nice To Haves

Compliance Reporting
Customer Risk
Decision Making
Regulatory Requirements
Risk Assessments
Risk Control
Strategic Objectives

Responsibilities

Establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices.
Trains, monitors, and manages junior staff and remediates any issues.
Constructively challenges conclusions/status quo and uses established credibility to influence customers.
Supports key business initiatives by drawing conclusions from data to identify compliance risks.
Presents resolutions to manage and mitigate the identified risks to business partners.
If necessary, escalates identified risks to senior team members.
Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.
Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization.
May include developing, facilitating, and conducting Compliance training programs for junior staff.
Assesses activity for existing and emerging risks.
Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to senior leadership.
Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
Manages regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
Directs the compliance monitoring program and reviews activity to ensure it falls within established risk control limits.
Identifies and defines the Compliance program objectives for assigned area, products/services, and applicable regulations.
Communicates and socializes compliance program objectives to executive level business partners and junior staff, as applicable.
Independently challenges analyses and formulates value-added recommendations.
Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed.
Completes a final review of compliance reports to identify common themes and widespread trends.
Escalates issues through proper governance channels as needed, and recommends corrective action plans.
Advises junior staff on report analysis techniques as applicable.
Proposes revisions and implementation strategy for new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.

Benefits

PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: 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.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 8 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.
To learn more about these and other programs, including benefits for full time and part-time employees, visit Your PNC Total Rewards.

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