Regional Compliance Risk Manager

2 weeks ago

Oklahoma City, Oklahoma, United States PNC Financial Services Group Full time

Position Overview
At PNC Financial Services Group, we recognize that our workforce is our most valuable asset and a key differentiator in the financial sector. We are committed to fostering a collaborative and inclusive workplace culture where every employee feels appreciated, respected, and empowered to contribute to our collective success.

Role Summary
The Regional Compliance Risk Manager (RCRM) operates within PNC Investments, a broker-dealer subsidiary of PNC Bank. This pivotal role collaborates with Compliance, Central Review Desk, and Regional Sales Managers to detect irregularities in sales and operational practices. The RCRM is responsible for overseeing advisors' compliance with corporate policies and serves as the regional point of escalation for new business reviews.

Key Responsibilities
- Provide proactive coaching and training to financial advisors on ethical sales practices.
- Disseminate updates regarding changes in company policies, procedures, and the regulatory landscape.
- Partner with the regulatory risk manager to implement and monitor compliance initiatives across business units.
- Ensure thorough documentation is maintained, including compliance validation and risk profile assessments.
- Identify potential audit concerns and communicate necessary action plans to relevant business lines.

Engagement and Collaboration
- Participate in regulatory and audit meetings as needed, offering updates on compliance status and progress.
- Engage with internal and external partners to monitor adherence to regulations and provide insights during business staff meetings.

Qualifications
Successful candidates will possess the following qualifications:

  • Education: Bachelor’s degree or equivalent experience.
  • Experience: Minimum of 2 years in a relevant professional role.
  • Licenses: Required FINRA Series 7, 66 (or equivalent 63/65), and Series 24 (or equivalent 9/10).

Core Competencies
We seek individuals who demonstrate:

  • Attention to detail and accuracy in all tasks.
  • Strong decision-making and critical thinking abilities.
  • Effective financial analysis and risk management skills.
  • Interpersonal skills to build relationships across various levels of the organization.

Benefits
PNC offers a comprehensive benefits package designed to support your needs both now and in the future. Full-time employees may have access to:

  • Medical, dental, and vision coverage.
  • 401(k) with company match and pension plans.
  • Generous paid time off policies.
  • Educational assistance programs.

At PNC, we are dedicated to creating a diverse and inclusive environment where all employees can thrive. We believe in the importance of providing equal employment opportunities and fostering a workplace that respects and values every individual.

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