Coordinating regulatory compliance efforts for PNC’s organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to the groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis with a preferred focus on our Public Finance business line
Designing and implementing compliance monitoring activities over sales and trading practices
Leading the communication and socialization of Compliance Program objectives in the Public Finance Line of Business Senior Management and other business partners
Supporting key 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 Line of Business Senior Management
Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives
Developing and delivering regulatory compliance training to personnel on an ongoing basis
Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified

Capital Markets and or Broker Dealer experience
FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public finance compliance experience
10+ years of industry experience
Bachelors

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

Senior Compliance Program Advisor – Capital Markets

Key skills