Compliance Program Specialist Personal Securities Trading and Information Barrier Programs

PNC Bank•Pittsburgh, PA

52d•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 Specialist within PNC's Corporate Governance organization, you will be based in Pittsburgh, PA. This position supports Control Room functions and may be responsible for activities related to Personal Securities Trading and Information Barrier programs. Responsibilities may include reviewing employee securities trading activity, monitoring restricted and watch lists, administering information barrier controls, conducting surveillance and monitoring activities, and supporting compliance reviews and investigations. The role partners with business units, Risk Management, and Compliance stakeholders to identify, assess, and mitigate regulatory and reputational risks. Successful candidates will demonstrate strong analytical skills, attention to detail, sound judgment, and the ability to manage sensitive and confidential information in a fast-paced environment. 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.

Requirements

University / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Strong analytical skills
Attention to detail
Sound judgment
Ability to manage sensitive and confidential information in a fast-paced environment.

Nice To Haves

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

Responsibilities

Implements compliance programs to prevent illegal, unethical, or improper business practices.
Develops ability to constructively challenge conclusions/status quo.
Supports key business initiatives by gathering and analyzing data to identify compliance risks.
May assist in suggesting resolutions.
As 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.
May evaluate 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.
Coordinates the compliance monitoring program and reviews activity to ensure it falls within established risk control limits.
Executes on the Compliance program objectives for assigned area, products/services, and applicable regulations.
May communicate and socialize compliance program objectives to business partners.
Under supervision, challenges analyses and formulates recommendations.
Prepares compliance reports.
Identifies issues illustrated by the reports, escalates through proper governance channels as needed.
Assists, as appropriate, 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.