Compliance Program Advisor - Broker Dealer

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 Advisor, you will be within PNC's Independent Risk Management (IRM) organization supporting the Enterprise Compliance Capital Markets team. The Compliance Program Advisor will be responsible for the following:

• Coordinating regulatory compliance efforts for PNC’s Broker Dealer organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to Broker Dealer groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis.
• Designing and implementing compliance monitoring activities over Broker Dealer group’s sales and trading practices.
• Leading the communication and socialization of Broker Dealer group’s Compliance Program objectives to Line of Business Senior Management and other business partners.
• Supporting key Broker Dealer group 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 Broker Dealer group's 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.

FINRA regulatory licenses are preferred for this role but not required at time of employment. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance.

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.

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives Competencies
• Anti-money Laundering/Sanctions Policies and Procedures
• Audit And Compliance Function
• Fraud Management
• Internal Controls
• Problem Solving

Roles at this level typically require a university / college degree, with 5+ years of industry-relevant experience. Specific certifications are often required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Bachelors Certifications No Required Certification(s) Licenses No Required License(s)

Base Salary: $70,000.00 – $. Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible with the payment based upon company, business and/or individual performance.

PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account;

back-up 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; 9 occasional absence…