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. As a Compliance Program Advisor, you will be within PNC's Risk, Change, Experience & Strategy (RCES) organization supporting the Regulatory Compliance team.

This is a remote position. Work may be performed from a quiet, confidential space in a home location, approved by PNC. This position may not be available in all geographic locations.

As a Compliance Program Advisor, you will be within PNC's Risk, Change, Experience & Strategy (RCES) organization supporting the Regulatory Compliance team. Your area of focus will be the investment businesses of PNC and, more specifically, the institutional SEC-registered investment advisers (RIAs) and the private funds and institutional accounts that they advise, as well as Bank-sponsored private funds offered by PNC.

In addition to the job description below, the Compliance Program Advisor will also be responsible for the following:

• Coordinating regulatory compliance efforts for investment management businesses in both the Asset Management Group (AMG) & Corporate & Institutional Banking (C&IB) organizations, specifically supporting PNC Capital Advisors, Steel City Advisors, & PNC Tax Credit, as well as PNC Unity Select Fund and certain other functions within AMG, in the planning, developing, and implementing of their Compliance Program and control activities, and recommending and driving changes to their Compliance Programs, including related policies, procedures, and controls on an ongoing basis.
• Leading the communication and socialization of the Compliance Program objectives to Line of Business Senior Management and other business partners.
• Supporting key group initiatives by analyzing data to identify compliance risks and preparing written reports, spreadsheets and other documents to support findings. 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.
• Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, using law firm publications and other resources, and evaluates and communicates the materiality of the risks identified.
• Prepare documentation required by external parties, such as SEC examination teams and accounting firms such as PwC, and internal groups such as Internal Audit, Enterprise Compliance and Enterprise Risk.
• Prepare and administer Compliance training to groups within the RIAs.

Job Description

• Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Coaches and mentors junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge the status quo.
• Supports key business initiatives by analyzing and drawing conclusions from data to identify compliance risks. Provides 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. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization.
• Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
• Leads the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Helps to identify and define