PNC Regulatory Risk Specialist (F) in Sarasota, Florida
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HR Job Code:
F00445 Regulatory Risk Spec (F)
Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas.
Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary.
Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business.
Participates in regulatory and audit meetings as appropriate. May include participating in business staff meetings as appropriate to provide an update of status/progress.
Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress.
FL - West Palm Beach
Regulatory Risk Specialist (F)
Line of Business:
PNC Investment Group
FL381 - Ringling Financial Center
Total Hours Per Week:
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
FL - Sarasota, FL - West Palm Beach
FINRA Series 7,66 (or 63,65) and Series 24 (or 9,10) required.
Required Education and 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 and experience (including military service) may be considered.
Job Specific Competencies:
Organizational Savvy and Politics - Working Experience
- Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels.
Interpersonal Relationships - Working Experience
- Knowledge of the techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner.
Process Management - Extensive Experience
- Knowledge of business process improvement tools and techniques and ability to understand, monitor, update, or enhance existing business or work processes.
Decision Making and Critical Thinking - Working Experience
- Understanding of the issues related to the decision-making process; ability to analyze situations fully and accurately, and reach productive decisions.
Accuracy and Attention to Detail - Extensive Experience
- Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.
Planning and Organizing - Basic Experience
- Mobilizes both time and resources to get things done.
Internal Controls - Working Experience
- Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.
Regulatory Environment - Financial Services - Working Experience
- Knowledge of and ability to help an organization adapt to applicable federal, state, local, and company-specific regulations, policies, and guidelines affecting business practices.
Financial Analysis - Working Experience
- Knowledge of and ability to read, interpret and draw accurate conclusions from financial and numerical material.
Financial Risk Management - Working Experience
- Knowledge of tools, techniques, and strategies applied in financial risk management; the ability to quantify, qualify, and manage financial risk.
Manages Risk - Basic Experience
- Assesses and effectively manages all of the risks associated with their business objectives and activities to ensure activities are in alignment with the bank's and unit's risk appetite and risk management framework.
Customer Focus - Working Experience
- Knowledge of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions, and ability to leverage that information in creating customized customer solutions.
At 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. As a REGULATORY RISK SPECIALIST (F) within PNC Investments organization, you will be based in Sarasota, FL or West Palm Beach, FL.