Senior Compliance Program Manager

• Establish and enhance effective compliance programs and design policies to identify and prevent illegal, unethical, or improper business practices
• Train, monitor, and manage junior staff and remediate issues
• Support business initiatives by analyzing data to identify compliance risks
• Present resolutions to manage and mitigate identified risks, escalating risks when necessary
• Assess compliance impacts on marketing materials, sales programs, product development, documentation review, and other business initiatives
• Work cooperatively with business, legal, audit, and other risk disciplines
• Develop, facilitate, and conduct compliance training programs for junior staff
• Assess existing and emerging risks, evaluate materiality, and present mitigation recommendations to senior leadership
• Draft or assess Compliance Manuals, Front Office materials, policies, and procedures for regulatory alignment
• Manage regulatory examinations and inquiries, including interviews and information requests
• Direct the compliance monitoring program and review activity against established risk control limits
• Define and communicate Compliance program objectives to executive-level business partners and junior staff
• Independently challenge analyses and formulate value-added recommendations
• Advise junior staff on analysis and recommendation techniques
• Complete final reviews of compliance reports to identify themes and trends
• Escalate issues through governance channels and recommend corrective action plans
• Propose revisions and implementation strategies for new or enhanced reports

• University/college degree, typically a Bachelor's degree
• Typically 8+ years of industry experience
• At least 5 years of prior management experience is typically required
• In lieu of a degree, a comparable combination of education, job-specific certifications, and experience, including military service, may be considered
• Knowledge of broker-dealer administration and regulatory compliance
• Experience with compliance testing and monitoring programs
• Experience with compliance program management, including policy oversight, risk assessment, and regulatory adherence
• Knowledge of anti-money laundering and sanctions policies and procedures
• Knowledge of audit and compliance functions
• Knowledge of fraud management and internal controls
• Skills in compliance reporting, customer risk, decision making, regulatory requirements, risk assessments, risk control, and strategic objectives
• Ability to manage risk in accordance with PNC's Enterprise Risk Management Framework
• Position subject to FDIA Section 19 requirements and, for registered roles, SAFE Act and/or FINRA requirements
• PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position

Demonstrates expertise in compliance program management, including policy oversight, risk assessment, and regulatory adherence. Proficient in compliance training, reporting, and managing regulatory examinations while effectively communicating with executive-level partners.

• Compliance Program Management
• Regulatory Compliance
• Risk Assessment
• Compliance Training
• Management Experience

• Compliance Testing
• Policy Oversight
• Risk Control
• Compliance Reporting
• Fraud Management
• Anti-Money Laundering
• Regulatory Adherence
• Decision Making
• Customer Risk Assessment
• Strategic Objectives

• Training
• Monitoring
• Communication
• Problem Solving
• Leadership

• Broker-Dealer Administration
• Regulatory Alignment
• Compliance Manuals
• Internal Controls
• FDIA Section 19
• SAFE Act
• FINRA Requirements
• Enterprise Risk Management Framework