PNC Compliance Program Specialist in Pittsburgh, Pennsylvania
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HR Job Code:
100183 Compliance Program Spec
Implements the business unit compliance programs to prevent illegal, unethical, or improper business practices. Developing ability to constructively challenge conclusions/status quo.
Update Compliance policies and procedures as needed. Ensure that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Independently challenges analyses, reviews and recommendations.
Identify and define the compliance program objectives for assigned line(s) of business, products/services and applicable regulations. Communicate and socialize those objectives (from a leadership position) to the business. Coordinate compliance monitoring program and oversee preparation of compliance reports. May serve as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, document review and other business initiatives.
Prepares compliance reports. Identifies issues, escalates through proper governance channels as needed. Analyzes assessments of compliance risk and internal controls, as appropriate. Researches regulatory developments. Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements.
Supports key business initiatives by identifying compliance risks and providing resolutions to manage these risks. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives.
PA - Pittsburgh
Compliance Program Specialist
Line of Business:
PA370 - One PNC Plaza
Total Hours Per Week:
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
MD - Baltimore, OH - Cleveland, PA - Pittsburgh
Required Education and 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 and experience (including military service) may be considered.
Job Specific Competencies:
Anti-money Laundering/Sanctions Policies and Procedures - Extensive Experience
- Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.
Problem Solving - Working Experience
- Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.
Accuracy and Attention to Detail - Working Experience
- Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.
Fraud Management - Working Experience
- Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities.
Internal Controls - Working Experience
- Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.
AUDIT AND COMPLIANCE FUNCTION - Working Experience
- Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.
Auditing - Working Experience
- Knowledge of organization's internal audit processes, practices and methods.
Manages Risk - Basic Experience
- Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank's and unit's risk appetite and risk management framework.
Customer Focus - Working Experience
- Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions.
At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. As a Compliance Program Specialist within PNC's Enterprise Compliance organization, (within the Independent Risk Management Organization), you will be based in Baltimore, MD , Pittsburgh, PA or Cleveland, OH . You will be a member of a centralized team that will have responsibility for the development, coordination and oversight of the Bank's Registered Investment Advisers (“RIAs”) within the Asset Management Group (AMG) line of business. These RIAs include PNC Capital Advisors, LLC and PNC Realty Investors, Inc.
Preferred experience includes a background in compliance and the ability to implement the practical elements of a compliance program, including risk assessments, testing and monitoring, policy development, and review of marketing and advertising materials.
Knowledge of the regulations under the Investment Advisers Act and/or the Investment Company Act is preferable but familiarity with other securities and banking regulations would also be acceptable.