Compliance Program Spec Senior

PNC Financial Services Group, Inc.•Pittsburgh, PA

50d•$72,000 - $127,400

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 Specialist Senior, within PNC's Retail Organization, you will be supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. The position will be based in Pittsburgh, PA or Cleveland, OH. The Compliance Program Specialist Senior preference would be to have the following: Capital Markets and or Broker Dealer experience FINRA regulatory licenses are preferred or willingness to obtain 3+ years of industry experience In addition to the job description below, the Compliance Program Specialist Senior 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 Designing and implementing compliance monitoring activities over sales and trading practices. Leading the communication and socialization of Compliance Program objectives 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 will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo. Supports key business 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 senior team members. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Leads the execution of the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to business partners. Independently challenges analyses and formulates recommendations. Edits compliance reports. Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans. Assists in updating or implementing 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

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role.
Roles at this level typically require a university / college degree, with 3+ years of relevant / direct industry experience.
Certifications are often desired.
In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Bachelors

Nice To Haves

Capital Markets and or Broker Dealer experience
FINRA regulatory licenses are preferred or willingness to obtain
3+ years of industry experience
Compliance Reporting
Customer Risk
Decision Making
Regulatory Requirements
Risk Assessments
Risk Control
Strategic Objectives

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
Designing and implementing compliance monitoring activities over sales and trading practices.
Leading the communication and socialization of Compliance Program objectives
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.
Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices.
Supports key business initiatives by analyzing data to identify compliance risks.
Assesses activity for existing and emerging risks.
Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits.
Edits compliance reports.

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.

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