Executive Director leading firm - wide Compliance Risk Assessment program for SMBC Group in financial services. Managing CRA process and collaborating with regulatory stakeholders.
About the role
- Compliance Program Specialist Senior supporting investment advisory compliance programs within PNC. Requires 3+ years in compliance and strong knowledge of securities law.
Responsibilities
- support investment advisory subsidiaries of PNC that are registered with the U.S. Securities and Exchange Commission (SEC)
- enhance compliance programs of Registered Investment Advisors (RIAs)
- analyze data to identify compliance risks
- evaluate and manage compliance monitoring programs
- research current laws, rules, and regulatory requirements
- communicate compliance program objectives to business partners
Requirements
- 3+ years of relevant / direct industry experience
- strong understanding of compliance frameworks
- experience in securities law, governance requirements, and corporate compliance
- ability to interpret and apply legal and regulatory guidelines
- familiarity with corporate and securities operations
- bachelor's degree preferred (Juris Doctorate is ideal but not mandatory)
Benefits
- 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
- 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
Job title
Job type
Experience level
Salary
Degree requirement
Location requirements
Senior Product Environmental Compliance Specialist leading compliance initiatives in Stryker's Endoscopy division. Driving regulatory strategy and cross‑functional alignment in a hybrid role.
Payments RCA Professional at U.S. Bank focused on operational loss reporting and risk management compliance. Collaborating across teams to ensure timely and accurate reporting and process improvement.
Compliance Representative managing risk and compliance under U.S. Bank's financial services. Involves collaboration across various teams and addressing policy violations and customer complaints.
Corporate Compliance Analyst supporting the development of a global compliance program at Vantage Data Centers. Engaging in risk assessments, training, and compliance monitoring to drive process improvements.
Senior Executive/Executive in charge of compensation and compliance at Orfium, ensuring legal adherence and proper employee relations while managing benefits and compensation strategies.
Compliance Reporting Assistant supporting compliance activities and gaining hands - on experience in a dynamic international environment. Assist in preparing reports and dashboards while collaborating with various stakeholders.
Environmental Compliance Specialist managing compliance with environmental laws for natural gas projects in multi - state areas. Supervising consultants, preparing compliance reports, and conducting audits.
Compliance Analyst ensuring adherence to Federal Energy Regulatory Commission and ERCOT standards. Collaborating with various teams to manage compliance documentation and processes.
Manage compliance testing for Manulife within the Canada Segment team. Analyze key business controls and recommend improvements for compliance in financial institutions.