Charlotte, NC, United States
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100186 Compliance Program Mgr Sr
Establishes and enhances effective compliance programs and designs policies to identify and prevent illegal, unethical, or improper business practices. Trains, monitors, and manages junior staff and remediates any issues. Constructively challenges conclusions/status quo and uses established credibility to influence customers.
Supports key business initiatives by drawing conclusions from data to identify compliance risks. Presents resolutions to manage and mitigate the identified risks to business partners. If necessary, escalates identified risks to senior team members. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization. May include developing, facilitating, and conducting Compliance training programs for junior staff.
Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation to senior leadership. Uses knowledge on current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Manages regulatory examinations and inquiries, including the coordination of interviews and information requests from regulatory agencies.
Directs the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Identifies and defines the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to executive level business partners and junior staff, as applicable. Independently challenges analyses and formulates value-added recommendations. Advises junior staff on how to appropriately challenge analyses and how to formulate thoughtful recommendations as needed.
Completes a final review of compliance reports to identify common themes and widespread trends. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Advises junior staff on report analysis techniques as applicable. Proposes revisions and implementation strategy for new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.
PA - Pittsburgh
Compliance Program Manager Sr
Line of Business:
PAA46 - Three PNC Plaza
Total Hours Per Week:
PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other categories protected by law
NC - Charlotte, PA - Pittsburgh
Required Education and Experience:
Roles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry experience is typically 8 years. At least 5 years of prior management experience is typically required. In lieu of a degree, a comparable combination of education and experience (including military service) may be considered.
Builds Winning Teams - Extensive Experience
Develops talent by creating engaged, inclusive and diverse teams who are empowered to speak freely and act with integrity.
Leads Effective Change - Extensive Experience
Recognizes the need for, takes personal accountability to adapt, and leads others through organizational change.
Drives for Results - Extensive Experience
Demonstrates energy and a desire to succeed; follows through on commitments; pushes self and others to deliver exceptional results.
Establishes Vision and Purpose - Extensive Experience
Creates a compelling vision of the future and translates it into action, linking others' contributions to the success of PNC.
Job Specific Competencies:
Anti-money Laundering/Sanctions Policies and Procedures - Subject Matter Expertise
Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.
Problem Solving - Subject Matter Expertise
Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.
AUDIT AND COMPLIANCE FUNCTION - Extensive Experience
Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.
Fraud Management - Working Experience
Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities.
Internal Controls - Extensive Experience
Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.
Manages Risk - Extensive Experience
Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank's and unit's risk appetite and risk management framework.
Customer Focus - Extensive Experience
Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions.
At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. As the Compliance Program Manager Senior within PNC's Independent Risk Management Enterprise Compliance organization, you will be based in Pittsburgh, PA or Charlotte, NC. This position is responsible for leading the Enterprise Compliance Risk Assessment Program (CRA).
Additional responsibilities include:
Owns the methodology and oversight of the compliance risk domain in connection with the Operational Risk Framework
Sets the compliance domain standards and ensures execution of those standards
Leads the engagement of Enterprise Compliance in RCSAs and Prime Process reviews
Works across key stakeholders to promote awareness of compliance domain risk drivers, inherent, and quality of risk management factors
Works closely with Operational Risk, Enterprise Risk, and 1st Line of Defense Compliance Teams as the compliance domain leader
Responsible for oversight and execution of the Independent Compliance Risk Assessment Program
Leads a of team of Compliance Program Specialists