Compliance Program Specialist - PNC Investments
Compliance Program Specialist - PNC Investments
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Job Description
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 companys success.As a Compliance Program Specialist within PNC Investments you will be based in Pittsburgh PA Cleveland OH or Birmingham AL. The position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely at the managers discretion.
Job Description
- Implements compliance programs to prevent illegal unethical or improper business practices. Develops ability to constructively challenge conclusions/status quo.
- Supports key business initiatives by gathering and analyzing data to identify compliance risks. May assist in suggesting resolutions. As 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. 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 the 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. May communicate and socialize compliance program objectives to business partners. Under supervision challenges analyses and formulates recommendations.
- Prepares compliance reports. Identifies issues illustrated by the reports escalates through proper governance channels as needed. Assists as appropriate 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 PNCs 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 needed to be successful in this position.
Preferred Skills
Compliance Reporting Customer Risk Decision Making Regulatory Requirements Risk Assessments Risk Control Strategic ObjectivesCompetencies
Accuracy and Attention to Detail Antimoney Laundering/Sanctions Policies and Procedures Audit And Compliance Function Auditing Fraud Management Internal Controls Problem SolvingWork Experience
Roles at this level typically require a university / college degree with 2 years of relevant professional experience. In lieu of a degree a comparable combination of education job specific certification(s) and experience (including military service) may be considered.Education
BachelorsCertifications
No Required Certification(s)Licenses
No Required License(s)Benefits
PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility options for fulltime employees include: medical/prescription drug coverage (with a Health Savings Account feature) dental and vision options; employee and spouse/child life insurance; short and longterm disability protection; 401(k) with PNC match pension and stock purchase plans; dependent care reimbursement account; backup 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 parttime employees visitYour PNC Total Rewards.
Disability Accommodations Statement
If an accommodation is required to participate in the application process please contact us via email at . Please include accommodation request in the subject line title and be sure to include your name the job ID and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also calland say Workday for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.
Equal Employment Opportunity (EEO)
PNC provides equal employment opportunity to qualified persons regardless of race color sex religion national origin age sexual orientation gender identity disability veteran status or other categories protected by law.
This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and for any registered role the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA) which prohibit the hiring of individuals with certain criminal history.
California Residents
Required Experience:
Unclear Seniority
Employment Type
Full-Time
