Senior Compliance Program Specialist

Role Overview

• Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices
• Develops ability to constructively challenge conclusions/status quo
• Supports key business initiatives by analyzing data to identify compliance risks
• Assists in providing 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
• Assesses activity for existing and emerging risks
• Evaluates 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
• Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits
• Leads the execution of the Compliance program objectives for assigned area, products/services, and applicable regulations
• Communicates and socializes compliance program objectives to business partners
• Independently challenges analyses and formulates recommendations
• Edits compliance reports
• Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans
• Assists in updating or implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements

Requirements

• 3+ years of relevant / direct industry experience
• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives
• Bachelors

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.