Regulatory Risk Specialist (F)
PNC Financial Services Group, Charlotte North Carolina
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. As a(n) (position title) within PNC's (name of division) organization, you will be based in (city/state location of position).
Position OverviewAt 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. As a Regulatory Risk Specialist within PNC Investments organization, you will be based in Charlotte, NC, Pittsburgh, PA, or Cleveland, OH.
FINRA Series 7,66,24 licenses required
- Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas.
- Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary.
- Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business.
- Participates in regulatory and audit meetings as appropriate. May include participating in business staff meetings as appropriate to provide an update of status/progress.
- Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress.
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.
CompetenciesAccuracy and Attention to Detail – Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.Decision Making and Critical Thinking – Understanding of the issues related to the decision-making process; ability to analyze situations fully and accurately, and reach productive decisions.Financial Analysis – Knowledge of and ability to read, interpret and draw accurate conclusions from financial and numerical material.Financial Risk Management – Knowledge of tools, techniques, and strategies applied in financial risk management; the ability to quantify, qualify, and manage financial risk.Internal Controls – Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.Interpersonal Relationships – Knowledge of the techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner.Organizational Savvy and Politics – Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels.Planning and Organizing – Mobilizes both time and resources to get things done.Process Management – Knowledge of business process improvement tools and techniques and ability to understand, monitor, update, or enhance existing business or work processes.Regulatory Environment - Financial Services – Knowledge of and ability to help an organization adapt to applicable federal, state, local, and company-specific regulations, policies, and guidelines affecting business practices.
Work ExperienceRoles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education and experience (including military service) may be considered.
Disability Accommodations Statement:
The PNC workplace is inclusive and supportive of individual needs. If you have a physical or other impairment that might require an accommodation, including technical assistance with the PNC Careers website or submission process, please call 877-968-7762 and select Option 4: Recruiting or contact us via email at [email protected]
The Human Resources Service Center hours of operation are Monday - Friday 9:00 AM to 5:00 PM ET.
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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