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PNC · 1 month ago

Compliance Program Specialist Senior (Private Funds)

MD - Baltimore

Full-time

Onsite

Mid, Senior Level

$72K/yr - $127K/yr

3+ years exp

PNC is a leading financial services company committed to delivering the best experience for its customers. The Compliance Program Specialist Senior will support investment advisory subsidiaries of PNC, enhancing compliance programs for private equity and private credit funds while navigating complex legal and financial requirements.

BankingFinanceFinancial Services

No H1B

Responsibilities

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

Qualification

Compliance ReportingRegulatory RequirementsRisk AssessmentsAnti-money LaunderingCustomer RiskRisk ControlDecision MakingAccuracyFraud ManagementInternal ControlsAudit And Compliance FunctionAuditingAttention to DetailProblem Solving