PNC Compliance Program Specialist Senior - Capital Markets 

United States, Texas, Houston 

240833451

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.In addition to the job description below, the Compliance Program Specialist Senior will also be responsible for the following:• Coordinating regulatory compliance efforts for PNC’s Capital Markets Group, including planning, developing, and implementing Compliance Program activities relating to National Futures Association (NFA), Commodity Futures Trading Commission (CFTC), Financial Industry Regulatory Authority (FINRA), and Securities and Exchange Commission (SEC) requirements.
• Recommending and driving changes to Capital Markets Groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis.
• Designing and implementing compliance monitoring activities over Capital Markets Group’s sales and trading practices.
• Leading the communication and socialization of Capital Markets Group’s Compliance Program objectives to Line of Business Senior Management and other business partners.
• Supporting key Capital Markets Group 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 Line of Business Senior Management. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.
• Developing and delivering regulatory compliance training to Capital Markets Group personnel on an ongoing basis.
• Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified.
• Has knowledge of swaps products (e.g., interest rate derivatives, commodity derivatives, foreign exchange) and/or broker dealer products (e.g., fixed income securities).
• Has knowledge of NFA/CFTC swap dealer requirements and/or FINRA/SEC broker dealer requirements.
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.

Accuracy 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.No Required Certification(s)No Required License(s)PNC offers 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; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives. In addition, PNC generally provides the following paid time off, depending on your eligibility*: maternity and/or parental leave; up to 11 paid holidays each year; 8 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service.

California Residents

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