Securities Compliance Examiner

About the Company

PNC Bank is one of the largest diversified financial services institutions in the United States, providing retail and business banking, residential mortgage, corporate and institutional banking, and asset management products and services. With a rich history spanning over 160 years, PNC is committed to serving its communities, fostering financial wellness, and building lasting relationships through innovative solutions and exceptional service. We believe in strengthening our communities and empowering our employees to achieve their full potential.

Job Description

We are seeking a diligent and experienced Securities Compliance Examiner to join our dynamic compliance team in Louisville, KY. The successful candidate will play a critical role in ensuring PNC Bank’s adherence to all relevant securities laws, regulations, and internal policies. This position involves conducting comprehensive examinations, reviewing transactions, identifying potential compliance risks, and collaborating with various business units to implement effective controls and remediation strategies. The ideal candidate will possess a strong understanding of securities regulations, excellent analytical skills, and a commitment to maintaining the highest ethical standards in the financial industry.

Key Responsibilities

• Conduct periodic and ad-hoc compliance examinations of brokerage activities, investment advisory services, and other securities-related operations.
• Review trading activities, customer accounts, marketing materials, and communications to ensure compliance with SEC, FINRA, MSRB, and internal guidelines.
• Identify and investigate potential compliance breaches, unauthorized activities, or suspicious transactions.
• Prepare detailed examination reports, documenting findings, recommendations, and corrective actions.
• Collaborate with legal, risk management, and business units to provide compliance guidance and facilitate the implementation of new regulatory requirements.
• Assist in the development and delivery of compliance training programs for employees.
• Monitor regulatory changes and trends to assess their impact on the bank's securities operations.
• Participate in the enhancement and maintenance of the firm's compliance policies and procedures.
• Respond to regulatory inquiries and assist with external audits as required.

Required Skills

• Minimum of 3 years of experience in securities compliance, regulatory examination, or a related role within the financial services industry.
• Bachelor's degree in Finance, Accounting, Business Administration, Law, or a related field.
• In-depth knowledge of SEC, FINRA, and MSRB rules and regulations (e.g., Securities Act of 1933, Securities Exchange Act of 1934, Investment Advisers Act of 1940, FINRA Conduct Rules).
• Strong analytical and problem-solving skills with meticulous attention to detail.
• Excellent written and verbal communication skills, with the ability to articulate complex regulatory concepts clearly and concisely.
• Demonstrated ability to work independently and as part of a team in a fast-paced environment.
• Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint).

Preferred Qualifications

• FINRA Series 7, Series 24 (General Securities Principal), or Series 9/10 (General Securities Sales Supervisor) licenses.
• Master's degree or Juris Doctor (JD).
• Certification such as Certified Regulatory Compliance Professional (CRCP) or Certified Anti-Money Laundering Specialist (CAMS).
• Experience with compliance software systems and data analysis tools.

Perks & Benefits

• Comprehensive health, dental, and vision insurance plans.
• Generous paid time off (PTO) and company holidays.
• 401(k) retirement plan with company match.
• Tuition reimbursement and professional development opportunities.
• Employee assistance program and wellness initiatives.
• Life and disability insurance.
• Employee banking benefits and discounts.

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