Compliance Specialist

First National Investment Services Company L L C; United States; On-site; USD 70,000 - 100,000; Full time

Job summary

F.N.B. Corporation (FNB) is seeking a Compliance Specialist for Advisory Businesses to ensure regulatory compliance across Wealth, Private Banking and Insurance activities.

The role collaborates with compliance staff to identify, measure and monitor compliance risks within Advisory. The candidate will document workflows, validate data integrity, maintain assessment methodologies and support external/internal examinations.

Qualifications

• BA or BS degree required.
• 3 years of related experience required.
• Knowledge of regulatory requirements in wealth management, deposits/lending and insurance.

Responsibilities

• Document workflows and suggest process improvements.
• Validate data integrity and report findings to management.
• Document assessment methodologies for audits and examinations.
• Develop and implement assessment processes and provide periodic monitoring reports.
• Perform related duties as assigned.
• Act as risk manager within compliance program.

Skills

Project management

Communication (written)

Communication (verbal)

Customer service

PC skills

MS Word

MS Excel

MS PowerPoint

Data integrity

Regulatory awareness

Education

BA or BS

Tools

MS Word

MS Excel

MS PowerPoint

Job description

Primary Office Location: 626 Washington Place. Pittsburgh, Pennsylvania. 15219.

Position Title: Compliance Specialist - Advisory Businesses

Business Unit: Multiple

Reports to: Director of Compliance - Advisory Businesses

Position Overview

This position is primarily responsible for ensuring Advisory (Wealth / Private Banking / Insurance) comply with regulatory requirements and applicable policies and procedures governing their business practices. The incumbent collaborates with other members of the compliance staff in the identification, measurement and monitoring of compliance risks within Advisory.

Primary Responsibilities

• Documents departmental work flows and recommends solutions to improve quality and reduce costs, identifies problems, diagnoses causes and determines corrective actions.
• Performs ongoing data integrity validation and correction activities in high-risk areas, document findings and reports them to management in a timely manner.
• Documents and maintains assessment methodology and supports external and internal examinations as assigned.
• Develops and implements assessment processes and prepares periodic monitoring reports.
• Performs other related duties and projects as assigned.
• All employees have the responsibility and the accountability to serve as risk managers for their businesses by understanding, reporting, responding to, managing and monitoring the risk they encounter daily as required by F.N.B. Corporation’s risk management program.

F.N.B. Corporation is committed to achieving superior levels of compliance by adhering to regulatory laws and guidelines.

Compliance with regulatory laws and company procedures is a required component of all position descriptions.

Minimum Level of Education Required to Perform the Primary Responsibilities of this Position

BA or BS

Minimum # of Years of Job Related Experience Required to Perform the Primary Responsibilities of this Position

3

Skills Required to Perform the Primary Responsibilities of this Position

• Excellent project management skills
• Excellent communication skills, both written and verbal
• Excellent customer service skills
• Ability to use general office equipment
• Ability to use a personal computer and job-related software
• MS Word - Intermediate Level
• MS Excel - Intermediate Level
• MS PowerPoint - Intermediate Level
• Experience conducting assessments or comparable production experience
• Familiar with wealth management, deposit/lending and insurance activities including applicable regulatory requirements

Licensures/Certifications Required to Perform the Primary Responsibilities of this Position

N/A

Equal Employment Opportunity (EEO)

It is the policy of F.N.B. Corporation (FNB) and its affiliates not to discriminate against any employee or applicant for employment because of age, race, color, religion, sex, national origin, disability, veteran status or any other category protected by law. It is also the policy of FNB and its affiliates to employ and advance in employment all persons regardless of their status as individuals with disabilities or veterans, and to base all employment decisions only on valid job requirements. FNB provides all applicants and employees a discrimination and harassment free workplace. FNB will not provide sponsorship for employment-based visas for this position; only candidates who are legally authorized to work in the U.S. will be considered.

A culture of teamwork. A history of success. As a leading diversified financial services company, F.N.B. Corporation (FNB) offers a wide range of opportunities for individuals who want to grow their careers.

The FNB team is a group of highly qualified professionals who work together to provide comprehensive financial solutions across our corporate footprint, which includes Pennsylvania, Ohio, Maryland, West Virginia, Virginia, North Carolina, and South Carolina.

Our consistent recognition as a best place to work and top workplace by our own employees symbolizes the outstanding culture we represent.