Specialist in Regulatory Compliance supporting sustainability initiatives at FERI Group. Responsible for analysis, reporting, and development of sustainable finance products.
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
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