Compliance Program Specialist

PNC | Baltimore, MD

Posted Date 11/08/2019
Description 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. As a Compliance Program Specialist within PNC's Asset Management organization you will be based in Philadelphia, PA or Baltimore, MD. In this role, you will work with an investment-oriented Compliance team, assisting with personal compliance.

Preferred Experience/Skills include:
• Experience in financial services and/or investment compliance
• Experience with Charles River trading system
• Knowledge of Investment Advisers Act
• Strong communication skills; ability to work & partner with internal clients

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 PNC's Enterprise Risk Management Framework.

Competencies

Accuracy and Attention to Detail – Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.Anti-money Laundering/Sanctions Policies and Procedures – Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.Audit And Compliance Function – Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.Auditing – Knowledge of organization's internal audit processes, practices and methods.Fraud Management – 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 – Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.Problem Solving – Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.

Work 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.

Education

Bachelors

Disability Accommodations Statement:


The PNC workplace is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the PNC Careers website or submission process, please call 877-968-7762 and select Option 4: Recruiting or contact us via email at pathfinder@pnc.com.

The Human Resources Service Center hours of operation are Monday - Friday 9:00 AM to 5:00 PM ET.

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.

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