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(n)Compliance Program Specialist Sr.
within PNC'sRisk Management
organization, you will be based inPittsburgh, PA or Brecksville, OH.
Provides advisory support forretail lending compliance
functions for Independent Risk Management and supports the development, implementation, and maintenance of a regulatory compliance program through compliance activities for lines of business, banking centers, and operations departments. The Compliance Program Specialist Sr will participate in compliance monitoring reviews with a defined scope and objective designed to assess specific products, processes, control or regulations focused on identified or emerging regulatorycompliance risks.
The Compliance Program Specialist Sr. reviews independent compliance testing and business line testing results to assist with/perform analysis against regulatory requirements and company policies. Advises on establishing requirements for enterprise-wide compliance training programs and reviews and compliance-related training.Job Profile
- Plans the execution of business unit compliance programs to prevent illegal, unethical, or improper business practices. Developing ability to constructively challenge conclusions/status quo.
- Update compliance policies and procedures as needed. Ensure that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. 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.
- Edits compliance reports. Identifies issues, escalates through proper governance channels as needed, and recommends corrective action plans. Analyzes assessments of compliance risk and internal controls, as appropriate. Researches regulatory developments. 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. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives.
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
Job Specific Competencies
- 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.
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.
Accuracy and Attention to Detail - Extensive Experience
- Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.
Internal Controls - Extensive Experience
- Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.
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.
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.
Auditing - Working Experience
Required Education and Experience
- Knowledge of organization's internal audit processes, practices and methods.
Roles at this level typically require a university / college degree, with 3+ years of relevant / direct industry experience. Certifications are often desired. 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
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