Compliance Program Advisor - Broker Dealer

Position Overview 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. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a Compliance Program Advisor, you will be within PNC's Independent Risk Management (IRM) organization supporting the Enterprise Compliance Capital Markets team. The Compliance Program Advisor will be responsible for the following: Coordinating regulatory compliance efforts for PNC’s Broker Dealer organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to Broker Dealer groups’ Compliance Program, including related policies, procedures, and controls on an ongoing basis. Designing and implementing compliance monitoring activities over Broker Dealer group’s sales and trading practices. Leading the communication and socialization of Broker Dealer group’s Compliance Program objectives to Line of Business Senior Management and other business partners. Supporting key Broker Dealer group initiatives by analyzing data to identify compliance risks. Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalates identified risks to Line of Business Senior Management. Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives. Developing and delivering regulatory compliance training to Broker Dealer group's personnel on an ongoing basis. Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materiality of the risks identified. FINRA regulatory licenses are preferred for this role but not required at time of employment. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Coaches and mentors junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge the status quo. Supports key business initiatives by analyzing and drawing conclusions from data to identify compliance risks. Provides resolutions to manage and mitigate the identified risks. 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. Assesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation. 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. Leads the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Helps to identify and define the compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to senior business partners. Independently challenges analyses and formulates insightful recommendations. Reviews compliance reports to identify deeper issues and common themes. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Mentors and coaches junior staff on report analysis techniques as applicable. Updates and implements new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework. Qualifications Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives Competencies Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving Work Experience Roles at this level typically require a university / college degree, with 5+ years of industry-relevant experience. Specific certifications are often required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered. Education Bachelors Certifications No Required Certification(s) Licenses No Required License(s) Pay Transparency Base Salary: $70,000.00 – $156,000.00Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible with the payment based upon company, business and/or individual performance. Application Window Generally, this opening is expected to be posted for two business days from 07/28/2026, although it may be longer with business discretion. Benefits medical/prescription drug coverage (with a Health Savings Account feature) dental and vision options employee and spouse/child life insurance short and long-term disability protection 401(k) with PNC match, pension and stock purchase plans dependent care reimbursement account back-up child/elder care adoption, surrogacy, and doula reimbursement educational assistance, including select programs fully paid a robust wellness program with financial incentives maternity and/or parental leave up to 11 paid holidays each year 9 occasional absence days each year, unless otherwise required by law between 15 to 25 vacation days each year, depending on career level and years of service Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact us via email at View email address on click.appcast.io. Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call View phone number on click.appcast.io and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions. Equal Employment Opportunity (EEO) 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. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices. #J-18808-Ljbffr Habitat For Humanity Of Durham