Compliance Program Specialist Personal Securities Trading and Information Barrier Programs

PNC Financial Services Group, Inc.; Pittsburgh, Northern (Allegheny County, KY); Hybrid; USD 80,000 - 110,000; Full time

Benefits offered by this job

Health insurance

401(k) with PNC match

Paid holidays

Paid time off

Disability protection

Job summary

PNC Financial Services Group, Inc. seeks a Compliance Program Specialist in Pittsburgh, PA to support Control Room functions and information barrier programs.

You will review employee securities trading activity, monitor restricted lists, and assist with investigations within Corporate Governance. The role requires strong analytical skills, attention to detail, and the ability to manage sensitive information in a fast-paced environment.

Qualifications

• Bachelor's degree; 2+ years of relevant professional experience.
• Experience with compliance programs and risk assessment.
• Strong analytical skills and ability to handle confidential information.

Responsibilities

• Implements compliance programs to prevent illegal or improper practices.
• Gathers and analyzes data to identify compliance risks.
• Escalates identified risks to senior team members as needed.
• Coordinates the compliance monitoring program and ensures alignment with risk limits.
• Prepares compliance reports and supports investigations and reviews.

Skills

Compliance Reporting

Customer Risk

Decision Making

Regulatory Requirements

Risk Assessments

Risk Control

Strategic Objectives

Attention to Detail

AML Policies

Auditing

Education

Bachelor's degree

Job description

Position Overview

Position Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a Compliance Program Specialist within PNC's Corporate Governance organization, you will be based in Pittsburgh, PA. This position supports Control Room functions and may be responsible for activities related to Personal Securities Trading and Information Barrier programs. Responsibilities may include reviewing employee securities trading activity, monitoring restricted and watch lists, administering information barrier controls, conducting surveillance and monitoring activities, and supporting compliance reviews and investigations. The role partners with business units, Risk Management, and Compliance stakeholders to identify, assess, and mitigate regulatory and reputational risks. Successful candidates will demonstrate strong analytical skills, attention to detail, sound judgment, and the ability to manage sensitive and confidential information in a fast-paced environment. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

Job Description

• Implements compliance programs to prevent illegal, unethical, or improper business practices.
• Develops ability to constructively challenge conclusions/status quo.
• Supports key business initiatives by gathering and analyzing data to identify compliance risks.
• May assist in suggesting resolutions.
• As 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.
• 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 the 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.
• May communicate and socialize compliance program objectives to business partners.
• Under supervision, challenges analyses and formulates recommendations.
• Prepares compliance reports.
• Identifies issues illustrated by the reports, escalates through proper governance channels as needed.
• Assists, as appropriate, in updating or implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.

PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be:

• Customer Focused – Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions.
• 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.

Qualifications

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position.

Preferred Skills

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives

Competencies

• Accuracy and Attention to Detail
• Anti-money Laundering/Sanctions Policies and Procedures
• Audit And Compliance Function
• Auditing
• Fraud Management
• Internal Controls
• Problem Solving

Work Experience

Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Education

Bachelors.

Certifications

No Required Certification(s).

Licenses

No Required License(s).

Language Assessments

No Required or Preferred Language Assessments.

Benefits

PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: 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.

In addition, PNC generally provides the following paid time off, depending on your eligibility: 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.

To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com.

Disability Accommodations Statement

If an accommodation is required to participate in the application process, please contact us via email at [e-mail]. Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.

Equal Employment Opportunity (EEO)

PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices. For nearly 160 years, PNC has strived to make a meaningful impact for our employees, customers, communities, and shareholders. We believe our success and positive reputation are built on open and honest dialogue, an unwavering focus on smart risk management, relationship-based customer service and community investments. Our inclusive workplace allows our employees to be heard, valued, and developed to do their best work. Being a great place to work means we are making a lasting difference for everyone we serve. Check out the top reasons to join PNC. PNC’s total rewards package includes things like time off, benefits, learning and career development, wellness programs, recognition and much more.