Senior Compliance Lead – Annuities & Broker-Dealer

PNC Financial Services Group; Pittsburgh (Allegheny County); On-site; USD 76,000 - 156,000; Full time

Benefits offered by this job

Health benefits

401(k) and pension plans

Educational assistance

Job summary

PNC Financial Services Group in Pittsburgh, PA, or Charlotte, NC, or Cleveland, OH, seeks a Compliance Program Specialist senior to lead governance for broker-dealer and insurance compliance, focusing on annuities and regulatory requirements.

Based in an in-office setting, you will advise on product risk, supervise controls, and support regulatory examinations while partnering with legal, risk, and business leaders.

Qualifications

• 5+ years of industry experience.
• Experience with broker-dealer and insurance compliance.
• Strong knowledge of FINRA rules and SEC regulations.
• Understanding of annuities and regulatory requirements.

Responsibilities

• Communicate compliant programs and mentor staff.
• Analyze data to identify compliance risks and propose resolutions.
• Assess existing risks and recommend mitigations.
• Lead the compliance monitoring program and escalate issues.
• Review reports and update compliance materials.

Skills

Broker-dealer compliance

FINRA rules

Regulation Best Interest

Annuities knowledge

Supervisory controls

Regulatory guidance

Product governance

Education

Bachelor's degree

Job description

PNC Financial Services Group in Pittsburgh, PA, or Charlotte, NC, or Cleveland, OH, seeks a Compliance Program Specialist senior to lead governance for broker-dealer and insurance compliance, focusing on annuities and regulatory requirements.

Based in an in-office setting, you will advise on product risk, supervise controls, and support regulatory examinations while partnering with legal, risk, and business leaders.