PNC Compliance Program Group Manager - First 

Remote, Remote 

104945925

The position requires strong written and verbal communication skills, critical “solutions oriented” thinking skills and the ability to develop, motivate and inspire a team of compliance professionals. Occasional travel to Home Office (Pittsburgh or Cleveland) is required to support critical projects and regulatory examinations. Series 7 and 24 (or equivalent) required. JD preferred.Job Description

• Oversees, establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices. Responsible for staff development and solves talent management problems. Constructively challenges conclusions/status quo and uses established credibility to influence sophisticated customers.
• Supports key business initiatives by formulating recommendations from data to identify compliance risks. Presents resolutions to manage and mitigate the identified risks to senior business partners and external stakeholders. 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 Executive leadership, and external stakeholders. 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. Directs the management of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
• Oversees the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Establishes the Compliance program objectives for assigned area, products/services, and applicable regulations. Responsible for communicating and socializing those objectives (from a leadership position) to executive level business partners, external stakeholders, and all impacted staff. 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.
• Accountable for all compliance report data. Presents reports to executive leadership and external stakeholders. Manages issues by escalating through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Reviews and approves all new/enhanced reports before implementation and distribution.

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-relevant experience is typically 8+ years. At least 5 years of prior management experience is typically required. Proven leadership experience with a moderate to large scope of responsibility is 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)FINRA SIE, Series 7 and 24, or Series 14 (or otherwise be qualified to register with FINRA as a Compliance Officer)
California Residents

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