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Compliance Testing Specialist Sr

Pittsburgh, PA PNC Financial Services Group

Position Overview

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 Compliance Testing Specialist Sr. within PNC’s Risk Management organization, you will be based in Pittsburgh, PA working as a Control Analyst within Model Risk Management.

Your responsibilities will include evaluating the adequacy and effectiveness of procedures and controls related to, but not limited to: model access management, change management, input and data integrity, backup and business resiliency planning. You will also draw upon your writing skills and auditing skills as the model control reviews will need to be documented in such a way that an independent party, such as Audit or a Regulator, can understand the work and the conclusions drawn. PNC’s commitment to leadership in model risk management means you will always be at the leading edge of model risk and the technologies applied to models used by PNC.

Job Profile

  • Plans the execution of business unit compliance testing program to prevent illegal, unethical, or improper business practices.
  • Plan testing and reviews. Applying risk analysis principles, determine the scope, including focus, objectives, and rationale, and update the scope as needed. Develop testing strategies, including procedures and selection of samples, sample size, and rationale. Perform testing and reviews according to the testing plan. Evaluate controls, identifying risks appropriately. Revise review programs as needed to accomplish objectives.
  • Conduct and manage documentation of the review process. Prepare working papers, ensure that documentation appropriately supports the testing conclusions, and document process flows and describe major processes within the area being reviewed.
  • Analyze the results of testing and review activities. Analyze exceptions and make recommendations to enhance internal controls and/or increase the efficiency of operations. Ensure that testing is accurate, complete, and in accordance with standards and protocols. Communicate test/review results and issues/concerns to management at the LOB and/or enterprise level, validating and recommending resolutions to issues.
  • Provide consulting services for clients on risk and control issues. May assist clients in implementation of new / improved systems, products / services, and controls.

Core Competencies

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.

Job Specific Competencies

Anti-money Laundering/Sanctions Policies and Procedures – Extensive Experience

  • Knowledge of and ability to prevent or report money laundering and Sanctions-related activities in banking and financial services industry.

Quality Management – Subject Matter Expertise

  • Knowledge of quality management methods, tools, and techniques used to create and support an environment that meets the needs of the organization.

Problem Solving – Extensive Experience

  • Knowledge of approaches, tools, techniques for recognizing, anticipating, and resolving organizational, operational or process problems; ability to apply this knowledge appropriately to diverse situations.

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.

Internal Controls – Working Experience

  • Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.


  • Knowledge of and ability to manage the major responsibilities, accountabilities, and organization of the Audit and Compliance (A&C) function or department.

Sarbanes-Oxley Compliance – Subject Matter Expertise

  • Knowledge of the Sarbanes-Oxley Act (SOX) and ability to implement business processes required to ensure compliance with its tenets.

Auditing – Extensive Experience

  • Knowledge of organization’s internal audit processes, practices and methods.

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.

EEO Statement

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

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