Senior Compliance Program Lead — Broker-Dealer & Insurance

PNC Financial Services Group; Charlotte (NC); On-site; USD 76,000 - 156,000; Full time

Job summary

PNC Financial Services Group is seeking a Senior Compliance Program Specialist to support broker-dealer and insurance compliance, including annuities, suitability, sales practices, and supervisory requirements. The position can be based in Charlotte, NC; Pittsburgh, PA; or Cleveland, OH.

You will interpret FINRA, SEC, and state requirements, provide independent compliance oversight of activities, evaluate product features and distribution strategies, and participate in governance discussions

Qualifications

• University degree and 5+ years of related experience.

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.
• Assesses activity for existing and emerging risks and drafts or assesses policies to ensure alignment.
• Leads the compliance monitoring program and defines objectives for assigned area and products.
• Escalates issues through governance channels and recommends corrective action plans.

Education

Bachelors

Job description

PNC Financial Services Group is seeking a Senior Compliance Program Specialist to support broker-dealer and insurance compliance, including annuities, suitability, sales practices, and supervisory requirements. The position can be based in Charlotte, NC; Pittsburgh, PA; or Cleveland, OH.

You will interpret FINRA, SEC, and state requirements, provide independent compliance oversight of activities, evaluate product features and distribution strategies, and participate in governance discussions