PNC Compliance Program Manager Sr - Enterprise Compliance-AMG 

United States, Ohio, Cleveland 

245826388

• 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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