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Compliance Program Specialist Senior at PNC Bank - ApplyBlast

Compliance Program Specialist Senior

PNC Bank

12 days ago

2.7 on Glassdoor

Charlotte, North Carolina, United States

Onsite

Full Time

Senior

0 applicants

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About this role

The Compliance Program Specialist Senior at PNC provides independent compliance oversight for broker-dealer and insurance-related activities, with a focus on annuity products and regulatory requirements. This role involves evaluating new products, assessing compliance risks, and providing guidance on regulatory obligations to ensure adherence to FINRA, SEC, and state insurance regulations. The specialist collaborates with business leadership and stakeholders to challenge proposals, enhance supervisory controls, and support regulatory examinations and remediation efforts.

Responsibilities

Provide compliance oversight for broker-dealer and insurance activities
Evaluate new products and business initiatives for regulatory risks
Support regulatory examinations and resolve compliance matters

Skills

About PNC Bank

pnc.com

Headquarters

Pittsburgh, Pennsylvania, United States

Company Size

10001+ employees

Founded

2014

View Profile

PNC Bank (PNC Financial Services Group), headquartered in Pittsburgh, PA, is a U.S. financial services company offering a broad suite of personal banking products including checking and savings accounts, credit cards, mortgages, home‑equity and auto loans, CDs and retirement accounts. It provides digital and mobile banking tools, online bill pay, card controls and a large branch and ATM network for everyday banking. PNC also offers wealth management, investment and retirement planning, plus small‑business banking and lending, positioning itself as a full‑service provider for individuals and businesses.