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PNC · 1 month ago

Compliance Program Supervisor

PA - Pittsburgh (15222)

Full-time

Onsite

Mid Level

3+ years exp

PNC Bank is a leading financial services institution committed to delivering the best experience for its customers. The Compliance Program Supervisor will oversee compliance programs, analyze data to identify compliance risks, and manage compliance monitoring to ensure adherence to regulations.

BankingFinanceFinancial Services

No H1B

Responsibilities

Supervises effective compliance programs to prevent illegal, unethical, or improper business practices. Trains and monitors junior staff and raises issues to senior team members. Demonstrates 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. May include developing, facilitating, and conducting Compliance training programs for junior staff

Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified. Leverages knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Assists in the coordination of regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies

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 and junior staff, as applicable. Independently challenges analyses and formulates recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed

Edits compliance reports. Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Assists in updating and implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements

Qualification

Compliance ReportingRegulatory RequirementsRisk AssessmentsCustomer RiskRisk ControlDecision MakingAccuracyAnti-money Laundering PoliciesFraud ManagementAttention to DetailProblem Solving