Compliance Program Manager Senior - SWAP 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.

We are looking to hire a Compliance Program Manager Senior within PNC's Independent Risk Management's Compliance organization supporting the SWAP Dealer line of business.

This position is primarily based in a PNC location. Responsibilities require time in the office or in the field on a regular basis.

Some responsibilities may be performed remotely, at manager's discretion.

The ideal candidate will have background and experience in the following :

• Sound knowledge on Title VII Dodd Frank Act, and CFTC regulation of the OTC Derivatives Market is required.
• Previous experience working for a Swap Dealer, Clearing House, Swap Data Repository, Swap Execution Facility, and other OTC Derivatives Markets infrastructure facilities within Title VII of Dodd Frank Act.
• Strong work ethic and ability to work with limited supervision.
• Strong communication skills, written and oral, and previous experience presenting to C-level management team.
• Capability to conduct ad-hoc analysis of regulations or regulatory changes, working with Legal.
• Work experience with enterprise-wide initiatives, and capability to manage and interact with IT resources.
• Previous experience tailoring and implementing the Swap Dealer internal training program.
• Managerial skills, and ability to quickly take additional responsibilities.
• Proficiency practical knowledge on Microsoft Excel, Microsoft PowerPoint, and Microsoft Word.

Job Description

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.

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.

PNC also has fundamental expectations of our people managers. As a manager of talent in PNC, you will be expected to :

• Include Intentionally - Cultivates diverse teams and inclusive workplaces to expand thinking.
• Live the Values - Role models our values with transparency and courage.
• Enable Change - Takes action to drive change and innovation that will transform our business.
• Achieve Results - Takes personal ownership to deliver results. Empowers and trusts others in decision making.
• Develop the Best - Raises the bar with every talent decision and guides the achievement of all employees and customers.

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. 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, job specific certification(s), and experience (including military service) may be considered.

Education

Bachelors

Certifications

No Required Certification(s)

Licenses

No Required License(s)

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 pncbenefits.com >

New to PNC.

For more information, please click on the following links :

Time Away from Work

PNC Full-Time Benefits Summary

PNC Part-Time Benefits Summary

Disability Accommodations Statement

If an accommodation is required to participate in the application process, please contact us via email at AccommodationR redacted .

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.

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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.

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