Compliance Program Specialist Senior - PNC Wealth Management

PNC•Cleveland, OH

20h•Onsite

About The Position

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.

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.
In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
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.

Nice To Haves

Compliance Reporting
Customer Risk
Decision Making
Regulatory Requirements
Risk Assessments
Risk Control
Strategic Objectives
Anti-money Laundering/Sanctions Policies and Procedures
Audit And Compliance Function
Fraud Management
Internal Controls
Problem Solving

Responsibilities

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.
Assists in providing resolutions to manage and mitigate the identified risks.
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.
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.

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