- Maintain and process Insurance Agency licensing, state renewals, requirements for each state, update agency affiliations.
- Aggregate, process and follow up on annuity contract reassignments with annuity carriers.
- Implements compliance programs to prevent illegal, unethical, or improper business practices. Develops ability to constructively challenge conclusions/status quo.
- Supports key business initiatives by gathering and analyzing data to identify compliance risks. May assist in suggesting resolutions. As 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.
- Assesses activity for existing and emerging risks. May evaluate the materiality of the risks identified. Researches current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment.
- Coordinates the compliance monitoring program and reviews activity to ensure it falls within established risk control limits. Executes on the Compliance program objectives for assigned area, products/services, and applicable regulations. May communicate and socialize compliance program objectives to business partners. Under supervision, challenges analyses and formulates recommendations.
- Prepares compliance reports. Identifies issues illustrated by the reports, escalates through proper governance channels as needed. Assists, as appropriate, in updating or implementing new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements.
- Customer 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.
- Managing 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.
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Compliance Program Specialist - Birmingham, United States - PNC Financial Services Group
Description
Position OverviewAt 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 within PNC Investments, you will be based in Birmingham, AL. The position will primarily be based at our 5th Avenue location.
Job Description
Accuracy and Attention to Detail - Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.
Anti-money Laundering/Sanctions Policies and Procedures - Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.
Audit And Compliance Function - Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.
Auditing - Knowledge of organization's internal audit processes, practices and methods.
Fraud Management - Knowledge of and ability to employ internal controls and to enhance business strategies for the purpose of detecting, correcting and preventing fraudulent activities.
Internal Controls - Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.
Problem Solving - Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.
Work Experience
Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Education
Bachelors
Additional Job Description
Benefits
PNC offers employees 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; maternity and parental leave; paid holidays, vacation days and occasional absence time; 401(k), pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption assistance; educational assistance and a robust wellness program with financial incentives. To learn more about these and other programs, including benefits for part-time employees, visit > New to PNC.
Disability Accommodations Statement:
If 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 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.
At 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.
Equal Employment Opportunity (EEO):
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.
California Residents
Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices.
