Senior Compliance Program Advisor Insurance BrokerDealer

PNC; Asheboro (NC); On-site; USD 76,000 - 156,000; Full time

Benefits offered by this job

Medical/dental/vision

401(k) with match

Paid holidays

Generous PTO

Job summary

PNC seeks a senior Compliance Program Specialist to oversee broker-dealer and insurance compliance, focusing on annuities and regulatory requirements. Based in one of several US locations (Charlotte, Pittsburgh, or Cleveland), you will guide governance, risk assessment, and regulatory adherence across products and distribution strategies.

You will translate complex rules into actionable guidance, support regulatory examinations, and partner with leadership to strengthen controls and disclosures.

Qualifications

• Experience with broker-dealer and insurance compliance, including annuity products, suitability, sales practices, and supervisory requirements.
• Strong working knowledge of FINRA rules, SEC regulations, Regulation Best Interest, and applicable state insurance regulatory requirements.
• Practical understanding of variable annuities, fixed annuities, fixed indexed annuities, and registered index-linked annuities.

Responsibilities

• Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices.
• Supports key business initiatives by analyzing data to identify compliance risks and provide resolutions.
• Leads the compliance monitoring program and defines objectives for assigned areas.

Skills

Broker-dealer compliance

Insurance compliance

FINRA rules knowledge

SEC regulations awareness

Regulation Best Interest

Annuitiy products understanding

Product governance

Education

Bachelor's degree

Job description

PNC seeks a senior Compliance Program Specialist to oversee broker-dealer and insurance compliance, focusing on annuities and regulatory requirements. Based in one of several US locations (Charlotte, Pittsburgh, or Cleveland), you will guide governance, risk assessment, and regulatory adherence across products and distribution strategies.

You will translate complex rules into actionable guidance, support regulatory examinations, and partner with leadership to strengthen controls and disclosures.