Senior Compliance Program Advisor - Insurance & FINRA

PNC Financial Services Group; Cleveland (OH); Presencial; USD 76.000 - 156.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Medical/dental/vision benefits

401(k) with company match

Paid holidays

Descripción de la vacante

PNC Financial Services Group seeks a Compliance Program Specialist senior to join its compliance organization. Based in one of several locations, this role requires expertise in broker-dealer and insurance compliance, with strong knowledge of FINRA rules, SEC regulations, and annuities.

The position emphasizes independent oversight, governance participation, and guidance on regulatory requirements across products and distribution strategies.

Formación

• Bachelor's degree required; certifications often required
• 5+ years of industry experience in compliance
• Experience with broker-dealer and insurance compliance

Responsabilidades

• 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 recommending resolutions.
• Assesses activity for existing and emerging risks and proposes risk mitigations.
• Leads the compliance monitoring program and defines program objectives for products/services and regulations.
• Reviews reports to identify issues and escalates as needed, mentoring junior staff.

Conocimientos

Broker-dealer compliance

Insurance compliance

FINRA rules

SEC regulations

Reg BI

Annuities knowledge

Regulatory guidance

Product governance

Educación

Bachelor's

Descripción del empleo

PNC Financial Services Group seeks a Compliance Program Specialist senior to join its compliance organization. Based in one of several locations, this role requires expertise in broker-dealer and insurance compliance, with strong knowledge of FINRA rules, SEC regulations, and annuities.

The position emphasizes independent oversight, governance participation, and guidance on regulatory requirements across products and distribution strategies.