Compliance Program Specialist Personal Securities Trading and Information Barrier Programs

Position Overview

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 within PNC's Corporate Governance organization, you will be based in Pittsburgh, PA.

This position supports Control Room functions and may be responsible for activities related to Personal Securities Trading and Information Barrier programs. Responsibilities may include reviewing employee securities trading activity, monitoring restricted and watch lists, administering information barrier controls, conducting surveillance and monitoring activities, and supporting compliance reviews and investigations. The role partners with business units, Risk Management, and Compliance stakeholders to identify, assess, and mitigate regulatory and reputational risks.

Successful candidates will demonstrate strong analytical skills, attention to detail, sound judgment, and the ability to manage sensitive and confidential information in a fast-paced environment. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

• 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.

• 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.

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

• Accuracy and Attention to Detail
• Anti-money Laundering/Sanctions Policies and Procedures
• Audit And Compliance Function
• Auditing
• Fraud Management
• Internal Controls
• Problem Solving

Roles at this level typically require a university /…