Senior Compliance Program Specialist

PNC

. Plan the execution of compliance programs to prevent illegal, unethical, or improper business practices .

Posted 10/13/2026full-timeUnited StatesSenior💰 $63,750 - $127,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in broker-dealer and insurance compliance, with a strong understanding of FINRA rules, SEC regulations, and various annuity products. Capable of analyzing compliance risks, drafting policies, and providing actionable guidance to ensure adherence to regulatory requirements.

Highest-signal resume keywords

Broker-Dealer ComplianceInsurance ComplianceFINRA Rules KnowledgeRegulatory Risk AssessmentAnnuity Product Expertise

ATS Keywords

Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Compliance Program ExecutionData AnalysisRisk MitigationCompliance Manual DraftingRegulatory ResearchCompliance MonitoringProduct EvaluationPolicy DevelopmentGovernance Channel EscalationRegulatory Examination Support

Soft Skills

Constructive ChallengeIndependent JudgmentCommunication SkillsRelationship BuildingAnalytical Thinking

Industry Keywords

Regulation Best InterestSuitability StandardsSales PracticesSupervisory RequirementsVariable AnnuitiesFixed AnnuitiesFixed Indexed AnnuitiesRegistered Index-Linked AnnuitiesCompliance OversightBusiness Risk Assessment

About the role

Key responsibilities & impact

Plan the execution of compliance programs to prevent illegal, unethical, or improper business practices
Constructively challenge conclusions and the status quo
Support business initiatives by analyzing data to identify compliance risks and assist with risk mitigation
Identify compliance impacts relating to marketing materials, sales programs, product development, documentation review, and other initiatives
Assess existing and emerging risks and evaluate their materiality
Research laws, rules, and regulatory requirements
Draft or assess Compliance Manuals, Front Office materials, policies, and procedures
Manage the compliance monitoring program and review activity against established risk control limits
Lead compliance program objectives for assigned areas, products/services, and regulations
Communicate compliance objectives to business partners
Independently challenge analyses and formulate recommendations
Edit compliance reports and analyze them for deeper issues
Escalate risks through governance channels and recommend corrective action plans
Assist in updating or implementing reports to support timely compliance with regulatory requirements
Provide subject matter expertise and independent compliance oversight for broker-dealer and insurance activities
Advise on annuity exchanges, replacements, surrender considerations, compensation structures, and conflicts of interest
Support regulatory examinations, inquiries, remediation efforts, and resolution of compliance matters
Review and assess new insurance and annuity products, enhancements, and distribution strategies
Participate in product governance committees, business risk assessments, and strategic discussions
Establish working relationships with business leadership, product management, supervision, legal, risk management, and stakeholders
Translate complex regulatory requirements into actionable guidance
Anticipate regulatory and industry developments and advise leadership on business impacts
Exercise independent judgment and escalate material compliance concerns

Requirements

What you’ll need

Experience with broker-dealer and insurance compliance, including annuity products, suitability, sales practices, and supervisory requirements
Strong working knowledge of FINRA rules, SEC regulations, Regulation Best Interest, and applicable state insurance regulatory requirements
Practical understanding of variable annuities, fixed annuities, fixed indexed annuities, and registered index-linked annuities, including product features, risks, and distribution considerations
Experience evaluating new products, business initiatives, regulatory risks, or supervisory controls
University/college degree typically required for this level; Bachelor's education listed
3+ years of relevant/direct industry experience
Comparable combination of education, job-specific certification(s), and experience, including military service, may be considered in lieu of a degree
No required certifications
No required licenses
No required or preferred language assessments
Must work in one of the following locations: Charlotte, NC; Pittsburgh, PA; or Cleveland, OH
PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position

Benefits

Comp & perks

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 plan
Stock purchase plan
Dependent care reimbursement account
Back-up child/elder care
Adoption, surrogacy, and doula reimbursement
Educational assistance, including select programs fully paid
Wellness program with financial incentives
Maternity and/or parental leave
Up to 11 paid holidays each year
9 occasional absence days each year, unless otherwise required by law
15 to 25 vacation days each year, depending on career level and years of service