Compliance Program Analyst – First Line of Defense

Role Overview

• Executes and analyzes established compliance programs to prevent illegal, unethical, or improper business practices
• Supports key business initiatives by gathering necessary data to identify compliance risks
• Under supervision, may assist in suggesting resolutions
• Escalates identified risks to senior team members
• Assesses activity for existing and emerging risks
• Under supervision, may evaluate 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
• Coordinates compliance monitoring program and reviews activity to ensure it falls within established risk control limits
• Executes on the Compliance program objectives for assigned area, products/services, and applicable regulations
• Under supervision, may communicate and socialize compliance program objectives to business partners
• Learns to challenge analyses and formulate recommendations
• Gathers data to prepare compliance reports
• May identify issues illustrated by the reports and escalate through proper governance channels as needed

Requirements

• Understanding of the Broker Dealer business is not required but preferred
• Customer Focused
• Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions
• 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
• Preferred Skills Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
• Accuracy and Attention to Detail, Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving, Quality Management

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