Compliance Program Supervisor

PNC Bank • Pittsburgh, PA

1d

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 Supervisor within PNC's Ethics organization, you will be based in Pittsburgh, PA. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Supervises effective compliance programs to prevent illegal, unethical, or improper business practices. Trains and monitors junior staff and raises issues to senior team members. Demonstrates 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. 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. Leverages knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Assists in the coordination of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. 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 and junior staff, as applicable. Independently challenges analyses and formulates recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed. Edits compliance reports. Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Assists in updating and 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. 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

• 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 industry-relevant experience.
• An operations or production environment position typically requires 2 years of previous managerial experience.
• 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
• Accuracy and Attention to Detail
• Anti-money Laundering/Sanctions Policies and Procedures
• Audit And Compliance Function
• Auditing
• Fraud Management
• Internal Controls
• Problem Solving

Responsibilities

• Supervises effective compliance programs to prevent illegal, unethical, or improper business practices.
• Trains and monitors junior staff and raises issues to senior team members.
• Demonstrates 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.
• 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.
• Leverages knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
• Assists in the coordination of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
• 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 and junior staff, as applicable.
• Independently challenges analyses and formulates recommendations.
• Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed.
• Edits compliance reports.
• Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans.
• Advises junior staff on report analysis techniques as applicable.
• Assists in updating and implementing 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 .

What This Job Offers

• Job Type: Full-time
• Career Level: Manager