PNC Compliance Program Advisor - SWAP Dealer 

United States, Texas, Houston 

616499863

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.· Sound knowledge on Title VII Dodd Frank Act, and CFTC regulation of the OTC Derivatives Market is required.
· Previous experience working for a Swap Dealer, Clearing House, Swap Data Repository, Swap Execution Facility, and other OTC Derivatives Markets infrastructure facilities within Title VII of Dodd Frank Act.
· Strong work ethic and ability to work with limited supervision.
· Strong communication skills, written and oral, and previous experience presenting to C-level management team.
· Capability to conduct ad-hoc analysis of regulations or regulatory changes, working with Legal.
· Work experience with enterprise-wide initiatives, and capability to manage and interact with IT resources.
· Previous experience tailoring and implementing the Swap Dealer internal training program.
· Managerial skills, and ability to quickly take additional responsibilities.
· Proficiency practical knowledge on Microsoft Excel, Microsoft PowerPoint, and Microsoft Word.
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)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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