{"id":3680548,"url":"https://alion.io/job/pnc-financial-services-group-compliance-program-advisor","title":"Compliance Program Advisor","company":{"id":4228,"name":"PNC Financial Services Group","domain":"pnc.com","url":"https://alion.io/company/pnc","size_band":"5000+","is_staffing_agency":false,"employer_type":"direct","is_intermediary":false,"listed_via":null,"ats_vendor":"Workday","truth_index":{"grade":"B","score":83,"open_postings":315,"ghost_share":0,"stale_share":0.683,"repost_share":0.016,"time_to_fill_p50_days":31,"computed_at":"2026-11-08T05:47:12Z"}},"role":"Legal","role_family":"Legal","seniority":"senior","employment_type":"full_time","work_mode":"on_site","remote_scope":null,"remote_scope_basis":null,"remote_working_hours":null,"hiring_geo_confidence":"structured","locations":["Charlotte, United States","Pittsburgh, United States","Cleveland, United States"],"countries":["US"],"hiring_countries":[],"hiring_countries_total":0,"salary":null,"salary_estimate":null,"experience_years_min":5,"visa_sponsorship":true,"relocation_package":false,"has_equity":false,"technologies":[],"status":"live","first_seen_at":"2026-11-02T00:00:00Z","employer_posted_date":"2026-11-02","last_verified_at":"2026-11-08T16:17:18Z","board_verified":true,"closed_at":null,"days_open":6,"trust":{"level":"ok","repost_count":null,"flags":[],"days_open":6},"description":"Position Overview\nAt 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. As a Compliance Program Specialist senior within PNC's compliance organization, you will be based in you’ll be based in one of the following locations: Charlotte NC, Pittsburgh, PA, or Cleveland, OHIn this position, you will demonstrate:\nExperience with broker-dealer and insurance compliance, including annuity products, suitability, sales practices, and supervisory requirements.\nStrong working knowledge of FINRA rules, SEC regulations, Regulation Best Interest, and applicable state insurance regulatory requirements.\nPractical understanding of variable annuities, fixed annuities, fixed indexed annuities, and registered index-linked annuities, including product features, risks, and distribution considerations.\nExperience evaluating new products, business initiatives, regulatory risks, or supervisory controls.\nProviding subject matter expertise and independent compliance oversight of broker-dealer and insurance-related activities, with particular emphasis on fixed, variable, fixed indexed, and registered index-linked annuities.\nInterpret and apply applicable FINRA, SEC, and state insurance regulatory requirements, including suitability, Regulation Best Interest, disclosure, supervision, and sales practice obligations.\nEvaluate existing compliance policies, procedures, and supervisory controls to identify potential gaps, emerging risks, and opportunities for enhancement.\nProvide regulatory guidance regarding annuity exchanges, replacements, surrender considerations, compensation structures, and potential conflicts of interest.\nSupport regulatory examinations, inquiries, remediation efforts, and the resolution of identified compliance matters.\nServe as a key compliance advisor in the review and assessment of new insurance and annuity products, product enhancements, and changes to distribution strategies.\nEvaluate product features, complexity, target markets, compensation arrangements, liquidity restrictions, and associated investor protection considerations.\nProvide constructive and credible challenge to business proposals, product initiatives, and distribution strategies to ensure appropriate consideration of regulatory, compliance, and reputational risks.\nParticipate in product governance committees, business risk assessments, and strategic discussions involving insurance and investment offerings.\nAssess the adequacy of product training, disclosures, supervisory controls, and ongoing monitoring associated with new or existing products.\nEstablish effective working relationships with business leadership, product management, supervision, legal, risk management, and other key stakeholders.\nDemonstrate the confidence and technical expertise to challenge business decisions when necessary while maintaining a collaborative and solutions-oriented approach.\nTranslate complex regulatory requirements into clear, actionable guidance that supports informed business decision-making.\nAnticipate regulatory and industry developments and proactively advise leadership on potential business impacts.\n• Exercise independent judgment and effectively escalate material compliance concerns, including matters involving product risk, sales practices, and customer outcomes.PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals.PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.\nJob Description\nCommunicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Coaches and mentors junior staff and raises issues to senior team members. Demonstrates ability to constructively challenge the status quo.\nSupports key business initiatives by analyzing and drawing conclusions from data to identify compliance risks. Provides 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. Works cooperatively with the business, legal partners, audit and other risk disciplines across the organization.\nAssesses activity for existing and emerging risks. Evaluates the materiality of the risks identified and presents recommendations on necessary risk mitigation. 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.\nLeads the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Helps to identify and define the compliance program objectives for assigned area, products/services, and applicable regulations. Communicates and socializes compliance program objectives to senior business partners. Independently challenges analyses and formulates insightful recommendations.\nReviews compliance reports to identify deeper issues and common themes. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Mentors and coaches junior staff on report analysis techniques as applicable. Updates and implements new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.\nPNC Employees take pride in our reputation and to continue building upon that we expect our employees to be:\nCustomer 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.\nManaging 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.\nQualifications\nSuccessful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensuresneeded to be successful in this position.\nPreferred Skills\nCompliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic ObjectivesCompetencies\nAnti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem SolvingWork Experience\nRoles at this level typically require a university / college degree, with 5+ years of industry-relevant experience. Specific certifications are often required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.Education\nBachelorsCertifications\nNo Required Certification(s)Licenses\nNo Required License(s)Language Assessments\nNo Required or Preferred Language AssessmentsPay Transparency\nBase Salary: $76,000.00 - $156,000.00Salaries 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\nGenerally, this opening is expected to be posted for two business days from 11/02/2026, although it may be longer with business discretion.Benefits\nPNC 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; 9 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 pncthrive.com.\nDisability Accommodations Statement\nIf 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 877-968-7762 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.\nAt 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.\nEqual Employment Opportunity (EEO)\nPNC 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.\nThis 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.\nCalifornia Residents\nRefer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring 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