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Compliance Program Advisor at PNC in Baltimore, MD

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Description

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. As a Compliance Program Advisor within the PNC Capital Advisors (PCA) organization, you may be based in Cleveland, Pittsburgh or Baltimore.

Reviews and approves all communications of the adviser and PNC Funds, both internal and external
* Escalates issues to PCA Compliance Manager and makes recommendations for resolution
* For PNC Funds, submits material to PNC Funds' Distributor (currently Foreside) for review
* Ensures that all advertising and marketing materials comply with SEC and FINRA rules and regulations, best practices, and internal standards.
* Confirms that materials accurately represent the products and/or services.
* Conducts content reviews for misleading statements and other content that could expose PCA to regulatory compliance or reputational risk.
* Provide edits/feedback to Marketing department as needed
* Strives for consistency in reviewing marketing materials on an ongoing basis in order to help promote consistent standards across the organization.
* Assist in maintaining internal compliance materials such as policies, procedures, desktop reference material, and reports.

Job Profile

  • Communicates effective business unit compliance programs to prevent or identify illegal, unethical, or improper business practices. Leads junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge the status quo.
  • Updates compliance policies and procedures as needed. Ensures that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Coordinates regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies. Independently challenges analyses, reviews and recommendations.
  • Identifies and helps to define the compliance program objectives for assigned line(s) of business, products/services and applicable regulations. Communicate and socialize those objectives (from a leadership position) to the business. Coordinates compliance monitoring program. May serve as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, document review and other business initiatives.
  • Reviews compliance reports. Identifies issues, escalates through proper governance channels as needed, and recommends corrective action plans. Reviews and analyzes assessments of compliance risk and internal controls, as appropriate. Analyzes regulatory developments, advise business management of proposed rule changes and provide recommendations. Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements.
  • Support key business initiatives by identifying Compliance risks and providing resolutions to manage these risks. May include developing and/or conducting compliance training programs for specific employees. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives. Work cooperatively with the business, legal partners, audit and other risk disciplines across the organization.

Core Competencies

Manages Risk - Working Experience

  • Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank's and unit's risk appetite and risk management framework.

Customer Focus - Extensive Experience

  • Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions.

Job Specific Competencies

Anti-money Laundering/Sanctions Policies and Procedures - Extensive Experience

  • Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.

Problem Solving - Working Experience

  • Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.

AUDIT AND COMPLIANCE FUNCTION - Extensive Experience

  • Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.

Internal Controls - Extensive Experience

  • Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.

Fraud Management - Working Experience

  • Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities.

Required Education and 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 and experience (including military service) may be considered.
EEO Statement
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
VEVRAA Federal Contractor
We Request Priority Protected Veteran and Disabled Referrals for all of our locations

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