Compliance Program Advisor - Regulatory Change jobs at Pnc in United States, Cleveland

• Oversee and manage Enterprise Compliance-AMG’s program over PNC Private Bank.• Program includes following areas of expertise:
- Administration of personal fiduciary accounts (trusts, estates, investment management, IRAs, etc.)
- Knowledge of 12 CFR 9, state trust and fiduciary laws, uniform trust code
- Specialized administration (Special Assets, fiduciary tax requirements)
- Support requirements for PNC Delaware Trust Company and PNC Ohio Trust Company• Manage aspects of program including
- Independent compliance risk assessments
- Testing and monitoring
- Initiative coverage
- Issue identification and challenge
- Applicable committee representation
- Knowledge of compliance requirements and related controls
• Interact with regulators (OCC, State of DE and State of Ohio) as examined or as needed• Manage a team of compliance specialists to execute on programJob Description

• Establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices. Trains, monitors, and manages junior staff and remediates any issues. Constructively challenges conclusions/status quo and uses established credibility to influence customers.
• Supports key business initiatives by drawing conclusions from data to identify compliance risks. Presents resolutions to manage and mitigate the identified risks to business partners. 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. May include developing, facilitating, and conducting Compliance training programs for junior staff.
• Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to senior leadership. 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. Manages regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
• Directs the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Identifies and defines the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to executive level business partners and junior staff, as applicable. Independently challenges analyses and formulates value-added recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed.
• Completes a final review of compliance reports to identify common themes and widespread trends. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Proposes revisions and implementation strategy for 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.

PNC also has fundamental expectations of our people managers. As a manager of talent in PNC, you will be expected to:

• Include Intentionally - Cultivates diverse teams and inclusive workplaces to expand thinking.
• Live the Values - Role models our values with transparency and courage.
• Enable Change - Takes action to drive change and innovation that will transform our business.
• Achieve Results - Takes personal ownership to deliver results. Empowers and trusts others in decision making.
• Develop the Best - Raises the bar with every talent decision and guides the achievement of all employees and customers.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and requiredneeded to be successful in this position.

Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic ObjectivesAnti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem SolvingRoles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry experience is typically 8+ years. At least 5 years of prior management experience is typically required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.No Required Certification(s)No Required License(s)

This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.

California Residents

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This position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis.  Some responsibilities may be performed remotely, at manager’s discretion.Reporting to the Institutional Asset Management Market Leader, you will deliver OCIO (Outsourced Chief Investment Officer) solutions to non-profit organizations, defined benefit pension plans, and corporations. Responsibilities include relationship management with existing clients, managing portfolios in accordance with the investment policy statement, providing recommendations for strategic and tactical changes in allocation based on each client’s unique needs, and supporting the development of new business opportunities. The CFA® designation is strongly preferred.Job Description

• Manages accounts in accordance with investment objectives that have been developed with the client. Depending on line of business, may provide specialized advice on planned giving, as well as analyzing program health and strategies.
• Responsible for delivering the PNC investment experience to clients, providing actionable advice, market insight and reporting on investment results.
• Responsible for maintaining and growing assets under management. Additionally supports and may lead the sales efforts of the business through the introduction and expansion of financial services to the client.
• Executes risk management practices through the adherence to PNC's policies and procedures. Supports the Functional Director in the oversight, performance management, and coaching of investment professionals.

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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and requiredneeded to be successful in this position.

Accountability, Budget Management, Competitive Advantages, Decision Making, Finance Strategy, Financial Modeling, Investment Management, Relationship ManagementClient Relationship Management, Decision Making and Critical Thinking, Effective Communications, Investment Consulting, Portfolio Management, Products and Services, Value SellingRoles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry relevant experience is typically 8+ years. 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.No Required Certification(s)No Required License(s)

This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.

California Residents

Refer to the

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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and requiredneeded to be successful in this position.

Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic ObjectivesAnti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem SolvingRoles 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.No Required Certification(s)No Required License(s)

This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.

California Residents

Refer to the

Senior role on the FDIC 370 Finance team responsible for driving compliance with the part 370 regulation. This individual will focus on rule interpretation, assisting with business requirements, and working with the lines of business to drive enhancements and remediation efforts. This team member will lead process changes throughout the life cycle of the data used in preparing the insurance calculation. Comprehension of data lineage, data transformation, and a firm grasp of the part 370 regulation is necessary for success in this role.This position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager’s discretion.• Ability to manage multiple projects concurrently.
• Strong written and verbal skills required for drafting and communicating business requirements.
• Basic understanding of data querying and SQL is a plus.
• Experience with Bank Regulatory Reporting, Axiom experience would be ideal.
• Ideal candidate will be a self-starter that can take the initiative on leading regulation-based initiatives from start to finish with minimal direction.
• Accounting/Finance/Reporting experience/education would be ideal.
• Familiarity with banking products and a bank’s balance sheet.
• Experience communicating with senior leadership of an enterprise.
• Strong organization skills.
• The ability to direct others through a collaborative work effort.Job Description

• Leads specialized accounting, reporting and analytical expertise in support of a centralized accounting and reporting function, a business function or a business unit. Serves as the senior expert for the team
• Leads the review and analysis of complex transactions; researches the applicable accounting, reporting and regulatory guidance; and communicates the implications to senior management.
• Participates on project teams and prepares accounting memoranda and related presentations related to new accounting pronouncements and their impact on PNC; reviews with senior management and the Board of Directors.
• Provides accounting expertise, including specialized knowledge related to internal control processes for month-end, quarter-end, and year-end closing activities, in support of both Finance department and business service partners.
• Supports and assists the Centralized Accounting and Reporting Management teams and the business units in the development and training of staff related to both generally accepted accounting principles and compliance with provisions of the Sarbanes-Oxley Act.

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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and requiredneeded to be successful in this position.

Balance Sheets, Decision Making, Finance, Financial Reporting and Analysis, Generally Accepted Accounting Principles (GAAP), Management Reporting, Tax AnalysisAccounting, Accuracy and Attention to Detail, Effective Communications, Financial Analysis, Financial And Accounting Systems, Financial Reporting, Generally Accepted Accounting Principles (GAAP), Internal Controls, Sarbanes-Oxley ComplianceRoles 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.No Required Certification(s)No Required License(s)
California Residents

Refer to the

This position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis. Some responsibilities may be performed remotely, at manager’s discretion.As a Compliance Program Specialist Senior, you will be a member of the team responsible for operating and administering the PNCI Compliance Program including the performance of supervisory control testing, branch office inspection program, maintenance and administration of Written Supervisory Procedures, development and implementation of Firm Element Continuing Education, and complaint monitoring and reporting.Responsibilities will include but are not limited to:
- Advising business partners on compliance requirements
- Assessing the effectiveness of procedures/controls from a compliance perspective
- Providing compliance support relating to the implementation of new/enhanced products/services- Reporting Compliance Program results/risks, and effectively communicating compliance requirements to diverse audiences.Former regulatory exam management, audit & compliance experience with Broker Dealers is preferred.Job Description

• Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo.
• Supports key business initiatives by analyzing data to identify compliance risks. Assists in providing 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.
• Assesses activity for existing and emerging risks. 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 to ensure alignment.
• Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Leads the execution of the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to business partners. Independently challenges analyses and formulates recommendations.
• Edits compliance reports. Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans. Assists in updating or implementing 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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and requiredneeded to be successful in this position.

Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic ObjectivesAccuracy and Attention to Detail, Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Auditing, Fraud Management, Internal Controls, Problem SolvingRoles 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, job specific certification(s), and experience (including military service) may be considered.Bachelors (Required)No Required Certification(s)No Required License(s)

This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.

California Residents

Refer to the