Senior Compliance Program Specialist

Profile

Senior Compliance Program Specialist

The candidate will serve as a second line of defense challenge and advisory function to related areas within AMG. Will assist in developing and fulfilling the compliance monitoring and testing program. Identify compliance risks, and assist with regulatory exams and inquiries. Provide ongoing support and guidance to business partners. Strong work ethic and ability to work independently. Plans the execution of compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo. Supports key business initiatives by analyzing data to identify compliance risks. Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalate 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. Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Manages the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Leads the execution of the Compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to business partners. Independently challenges analyses and formulates recommendations. Edits compliance reports. Analyzes the reports to identify deeper issues, escalates through proper governance channels as needed, and recommend corrective action plans. Assists in updating or implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.

Additional Information

job requisition id R119310

Company info

The PNC Financial Services Group
1900 East 9th Street
Cleveland
Ohio
United States 44114
Website : http://www.pnc.com