About this role
Role Overview
- Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives
- Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas
- Ensures appropriate documentation is completed
- Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary
- Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas
- Communicates those potential issues and the execution plan to the lines of business
- Participates in regulatory and audit meetings as appropriate
- May include participating in business staff meetings as appropriate to provide an update of status/progress
Requirements
- Bachelors degree
- FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required
- FINRA Series 4 and 53 required for trade review
- State insurance license preferred
- < 1 year of professional experience and/or successful completion of a formal development program
- In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered
Benefits
- 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
- maternity and/or parental leave
- up to 11 paid holidays each year
- 9 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