Compliance Program Specialist Senior

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 companys success. As a(n) Compliance Program Specialist Senior within PNCs 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 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 : $72000.00 $127400.00

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 . 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 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.

Required Experience :

IC

Key Skills

Compliance Management,Risk Management,Financial Services,PCI,Banking,Cost Accounting Standards,Quality Systems,Research Experience,NIST Standards,Securities Law,SOX,ISO 27000

Employment Type : Full-Time

Experience : years

Vacancy : 1

Monthly Salary Salary : 72000 - 127400