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 Analyst, you will be within PNC’s Retail Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team, and the Broker Dealer Line of Business.

The Compliance Program Analyst Specialist for Broker Dealer will be responsible for supporting initiatives to mature and enhance the compliance program, as well as assist in the continuous evaluation, identification and implementation of opportunities. Understanding of the Broker Dealer business is not required but preferred.

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.

Job Description

• Executes and analyzes established compliance programs to prevent illegal, unethical, or improper business practices.
• Supports key business initiatives by gathering necessary data to identify compliance risks. Under supervision, may assist in suggesting resolutions. Escalates identified risks to senior team members.
• Assesses activity for existing and emerging risks. Under supervision, 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 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. Under supervision, may communicate and socialize compliance program objectives to business partners. Learns to challenge analyses and formulate recommendations.
• Gathers data to prepare compliance reports. May identify issues illustrated by the reports and escalate through proper governance channels as needed.

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 certifications/licensures