Compliance Program Specialist Senior

Compliance Program Specialist Senior

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 Specialist Senior within PNC's Regulatory Compliance Governance organization, you will be based in Philadelphia, PA, Pittsburgh, PA, Cleveland, OH, Baltimore, MD, or Louisville, KY. As a Compliance Program Specialist Senior, you will support investment advisory subsidiaries of PNC that are registered with the U.S. Securities and Exchange Commission (SEC). Your primary role will be to support and enhance the compliance programs of RIAs that manage private equity (PNC Tax Credit) and private credit (PNC Steel City) funds. This position requires a strong understanding of compliance frameworks and the ability to navigate complex legal and financial requirements. Ideal candidates bring some experience in securities law, governance requirements, and corporate compliance, along with a willingness to learn the private fund business from the CCO and a deeply experienced team. Familiarity with corporate and securities operations is highly valuable for success in this role. While a Juris Doctorate (JD) is preferred, it is not mandatory; however, the ability to interpret and apply legal and regulatory guidelines is essential. This role demands analytical thinking, attention to detail, and a commitment to maintaining the highest standards of compliance within a dynamic financial environment.

PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

Job Description

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, 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.

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 recommends corrective action plans. Assists in updating or implementing 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 :

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 : Accuracy and Attention to Detail, Anti-money Laundering / Sanctions Policies and Procedures, Audit And Compliance Function, Auditing, Fraud Management, Internal Controls, Problem Solving

Work Experience : Roles at this level typically require a university / college degree, with 3+ years of relevant / direct industry experience. Certifications are often desired. 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 : $72,000.00 $127,400.00 Salaries 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 11 / 21 / 2025, although it may be longer with business discretion.

Benefits : PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include : 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. In addition, PNC generally provides the following paid time off, depending on your eligibility : maternity and / or parental leave; up to 11 paid holidays each year; 8 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. To learn more about these and other programs, including benefits for full-time and part-time employees, visit Your PNC Total Rewards.

Disability Accommodations Statement : If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com. 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 877-968-7762 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.