Compliance Program Advisor

Full job description Job Profile
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 within PNC's Independent Risk Management (IRM) Enterprise Compliance Department organization, you can be based in Pittsburgh, PA; Cleveland, OH; or Birmingham, AL
This position is primarily based in a PNC location. Responsibilities require time in the office on a regular basis. Some responsibilities may be performed remotely, at manager's discretion. Additional Responsibilities: Serve as Archer Report Writer for the Enterprise Compliance quarterly Compliance Risk Report: Facilitate the timely production of the Risk Report. Work with partners across Enterprise Compliance and other Risk Areas and LODs/LOBs (under ERM managed framework). Complete the Quarterly Compliance Management Metric (KRI) Report. Coordinate and support the Risk Appetite process within Enterprise Compliance (including working with partners within BSA/AML & Sanctions): Annual Risk Appetite Reassessment and production of the final whitepaper. Work with partners across Enterprise Compliance and other Risk Areas and LODs/LOBs (under ERM managed framework). Ensure any intra-cycle metric changes are completed timely (see below). Serve as Archer Metric Coordinator for Enterprise Compliance: Actively engage with all Enterprise Compliance metric (board, executive & management-level KRIs) owners throughout the year to ensure all metric activities are completed as required, including intra-cycle changes (see above). Metric Coordinator is the single point of contact for all metric tasks within Enterprise Compliance. Coordinate the administrative logistics, planning, and facilitation of recurring OCC and Joint Regulatory meetings for Enterprise Compliance at both a monthly and quarterly cadence. Provide coordination and liaison support for regulatory examinations, Internal Audits as assigned. Establish expectations with internal risk partners, ensuring mutual understanding of required frameworks and Compliance activities and documentation submissions. Partner with internal risk partners to ensure satisfactory submission of documentation to facilitate successful completion of framework requirements, internal and external Compliance activities. Ideal candidates should possess a mix of the following characteristics:
Risk Management and/or Regulatory Compliance experience is required. Prior exposure to PNC risk & control frameworks, quarterly risk reporting and risk appetite framework processes. Understanding of the relationship between financial services companies and regulatory oversight bodies, such as the OCC, FRB, CFPB, FDIC, and SEC. Experience working and interacting with senior management and regulators is required. Strong executive presence: The ability to confidently engage with senior leaders and maintain high level of quality of task execution is required. Strong communication and organizational skills are required. Ability to successfully manage multiple priorities and related milestones simultaneously is required. Self-motivated individual who can effectively prioritize workload with the ability to work independently. Position includes regulatory exam tracking and other Compliance related projects as assigned. Job Description
Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Coaches and mentors junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge the status quo.
Supports key business initiatives by analyzing and drawing conclusions from data to identify compliance risks. Provides resolutions to manage and mitigate the identified risks. If 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. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization.
Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
Leads the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Helps to identify and define the compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to senior business partners. Independently challenges analyses and formulates insightful recommendations.
Reviews compliance reports to identify deeper issues and common themes. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Mentors and coaches junior staff on report analysis techniques as applicable. Updates and implements 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
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.
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 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.
Education
Bachelors
Additional Job Description
Benefits
PNC offers employees 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; maternity and parental leave; paid holidays, vacation days and occasional absence time; 401(k), pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption assistance; educational assistance and a robust wellness program with financial incentives. To learn more about these and other programs, including benefits for part-time employees, visit pncbenefits.com > New to PNC. Disability Accommodations Statement:
If an accommodation is required to participate in the application process, please contact us via email at . Please include "accommodation request" in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions. 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.
California Residents
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