Product Owner III, Customer Identity & Access Management
PNC
Senior Compliance Program Specialist
PNC
full-time
Posted on:
Origin: • 🇺🇸 United States • North Carolina, Ohio, Pennsylvania
Visit company websiteSalary
💰 $55,000 - $98,000 per year
Job Level
Senior
About the role
- Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices
- Develops ability to constructively challenge conclusions/status quo and supports key business initiatives by analyzing data to identify compliance risks
- Assists in providing resolutions to manage and mitigate identified risks and escalates as necessary
- Identifies compliance impact on marketing materials, sales programs, product development, documentation review and other business initiatives
- Assesses activity for existing and emerging risks and evaluates 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
- Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits
- Leads execution of Compliance program objectives for assigned area, communicates and socializes compliance program objectives to business partners, edits and analyzes compliance reports, and recommends corrective action plans
- Assists in updating or implementing new/enhanced reports to ensure timely and effective compliance with regulatory requirements
Requirements
- University/college degree (Bachelors) OR comparable combination of education, certifications, and experience
- 3+ years of relevant/direct industry experience
- Retail Brokerage/Advisory Compliance experience preferred
- Supervisory experience preferred
- FINRA licensing preferred: Series 7 and Series 24
- Knowledge of Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
- Competencies: Accuracy and Attention to Detail, Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Auditing, Fraud Management, Internal Controls, Problem Solving
- No sponsorship for employment visas; PNC will not provide sponsorship or participate in STEM OPT
- Bachelor's degree listed as education
