Compliance Program Specialist Sr – PNC Financial Services Group – Downers Grove, IL

Compliance Program Specialist Sr
PNC Financial Services Group
4,488 reviews

Downers Grove, IL 60516

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. As a Compliance Program Specialist Sr. within PNC’s Retail Compliance organization, you will be based in Downers Grove, Ill, Miamisburg, Oh., or Pittsburgh, Pa.

As a Compliance Specialist, you will be joining PNC’s Enterprise Compliance organization. As a Compliance Specialist, you will enhance reporting and assisting in maintaining PNCM’s (PNC Mortgage) compliance program. The Compliance Specialist, will be responsible for reporting Retail Lending Compliance Program results/risks, and effectively communicating to diverse audiences. Prior reporting and data analysis experience preferred for this role.

Duties Include but are not limited to;

  • Collaborate with retail lending managers and other compliance contacts to build and execute in depth reporting around: Issues management, policies and procedures, compliance training, complaints, regulatory reform, compensation and performance management and other compliance projects
  • Collaborate with Compliance partners to assess and identify opportunities for regulatory compliance reporting enhancements
  • Track and report identified compliance and/or regulatory risk issues to confirm status and movement of regulatory risks.
  • Identification and execution of trend reporting across all Retail Lending groups
  • Creating multiple procedure documents to fully represent reporting process

The successful candidate will have the following qualifications:

  • Experience in Mortgage Banking and Mortgage Lending is a plus
  • Strong analytical skills.
  • Knowledge of MS Access, or SQL
  • Advanced Excel Skills
  • Knowledge of visual analysis tools such as Tableau is helpful but not required, willingness to learn a must
  • Demonstrated ability to communicate effectively orally and in writing with all levels of management.
  • Sound business judgment, leadership and project management skills
  • Demonstrated ability to self-lead and manage daily tasks timely

Job Profile

  • Plans the execution of business unit compliance programs to prevent illegal, unethical, or improper business practices. Developing ability to constructively challenge conclusions/status quo.
  • Update compliance policies and procedures as needed. Ensure that compliance manuals, front office manuals, policies and procedures accurately reflect current laws, rules, other regulatory requirements and management intent. Independently challenges analyses, reviews and recommendations.
  • Identifies and helps to define the compliance program objectives for assigned line(s) of business, products/services and applicable regulations. Communicate and socialize those objectives (from a leadership position) to the business. Coordinates compliance monitoring program. May serve as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, document review and other business initiatives.
  • Edits compliance reports. Identifies issues, escalates through proper governance channels as needed, and recommends corrective action plans. Analyzes assessments of compliance risk and internal controls, as appropriate. Researches regulatory developments. Assists, as appropriate, in updating or implementing new/enhanced processes in order to ensure timely and effective compliance with new regulatory requirements.
  • Support key business initiatives by identifying compliance risks and providing resolutions to manage these risks. Serves as a resource regarding compliance impact on such matters as marketing materials and sales programs, product development, documentation review and other business initiatives.

Core Competencies

Manages Risk – Working Experience

  • Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank’s and unit’s risk appetite and risk management framework.

Customer Focus – Extensive Experience

  • Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions.

Job Specific Competencies

Anti-money Laundering/Sanctions Policies and Procedures – Extensive Experience

  • Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.

Problem Solving – Working Experience

  • Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.

Accuracy and Attention to Detail – Extensive Experience

  • Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.

Internal Controls – Extensive Experience

  • Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.


  • Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.

Fraud Management – Working Experience

  • Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities.

Auditing – Working Experience

  • Knowledge of organization’s internal audit processes, practices and methods.

Required Education and 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 and experience (including military service) may be considered.

EEO Statement

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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