Position Overview

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. We are looking to hire a Compliance Program Specialist Senior within PNC's Independent Risk Management's Compliance organization supporting the Asset Management Group (AMG) line of business.

This position is primarily based in a PNC location. Preferred locations are listed on the posting. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager’s discretion.

Preferred Qualifications:
• At least 3+ years of experience within Legal, Audit, or Compliance
• Previous experience within the Wealth Management industry or working with Fiduciary accounts.
•Expertise in securities movement and control, including security set up, pricing, settlement, custody, and control.
•Experience in oversight of wealth management delivery solutions including product selection, due diligence, asset allocation, and portfolio construction.
•Ability to assess and challenge business risks and controls in addition to risk identification and issue remediation.
• Ability to work independently and problem solve.
• Strong written and verbal communication skills.
• Knowledge of Microsoft products including Excel and Word.

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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required