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 Specialist Senior, you will be within PNC’s Retail Organization supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense 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.

The Compliance Program Specialist Senior preference would be to have the following:

* Capital Markets and or Broker Dealer experience

* FINRA regulatory licenses are preferred or willingness to obtain

* 3+ years of industry experience

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

- Coordinating regulatory compliance efforts for PNC’s organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to the groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis

- Designing and implementing compliance monitoring activities over sales and trading practices.

- Leading the communication and socialization of Compliance Program objectives

- Supporting key 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 Line of Business Senior Management

- Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives

- Developing and delivering regulatory compliance training to personnel on an ongoing basis

- Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified.

PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

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