Compliance Program Advisor Senior- Capital Markets

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. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company's success. As a Compliance Program Advisor, Senior

• Capital Markets within PNC's Retail Organization you will be based in Pittsburgh, PA; Philadelphia, PA or Cherry Hill, NJ. The Compliance Program Advisor Senior will be supporting the Risk, Change, Experience & Strategy (RCES) First Line of Defense Regulatory Compliance team. The qualified candidate should have the following:
• Capital Markets and or Broker Dealer experience
• FINRA regulatory licenses (series 24 or 53) are preferred for this role and/or public finance compliance experience.
• 10+ years of industry experience In addition to the job description below, the Compliance Program Advisor will also be responsible for the following:
• Coordinating regulatory compliance efforts for PNC's organizations, planning, developing, and implementing Compliance Program activities, and recommending and driving changes to the groups' Compliance Program, including related policies, procedures, and controls on an ongoing basis with a preferred focus on our Public Finance business line
• Designing and implementing compliance monitoring activities over sales and trading practices.
• Leading the communication and socialization of Compliance Program objectives in the Public Finance Line of Business Senior Management and other business partners.
• Supporting key initiatives by analyzing data to identify compliance risks.
• Assists in providing resolutions to manage and mitigate the identified risks. If necessary, escalates identified risks to Line of Business Senior Management.
• Identifies compliance impact on matters such as marketing materials, sales programs, product development, documentation review and other business initiatives.
• Developing and delivering regulatory compliance training to personnel on an ongoing basis.
• Monitoring, researching, and identifying regulatory, compliance, and industry developments for emerging risks, and evaluates and communicates the materially of the risks identified.

PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals. PNC will not provide sponsorship for employment visas or participate in

STEM OPT

for this position. Job Description Communicates effective compliance programs to identify and prevent illegal, unethical, or improper business practices. Serves as a trusted advisor to business leadership on compliance matters. Provides resolutions to manage and mitigate the identified risks. Works collaboratively with partners in the line of business, legal, audit and other risk disciplines across the organization. Proactively identify and raise compliance concerns as they relate to key business initiatives. Draws on industry knowledge related to current laws, rules, and other regulatory requirements and drafts or assesses Compliance Manuals, Front Office materials, policies and procedures to ensure alignment. Communicates and socializes compliance program objectives to senior business partners. Independently challenges analyses and formulates insightful recommendations. Reviews compliance reports to identify deeper issues and common themes. Escalates issues through proper governance channels as needed, and recommends corrective action plans. Mentors and coaches junior staff on report analysis techniques as applicable. Updates and implements new/enhanced reports in order to ensure timely and effective compliance with regulatory requirements. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused

• Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk
• Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.

Qualifications Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position. Preferred Skills Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives Competencies Anti-money Laundering/Sanctions Policies and Procedures, Audit And Compliance Function, Fraud Management, Internal Controls, Problem Solving Work Experience Roles at this level typically require a university / college degree. Higher level education such as a Masters degree, PhD, or certifications is desirable. Industry relevant experience is typically 8+ years. Specific certifications are often required. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered. Education Bachelors Certifications No Required Certification(s) Licenses No Required License(s)

Pay Transparency Base Salary:

$97,500.00

• $172,250.

00 Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible with the payment based upon company, business and/or individual performance. Application Window Generally, this opening is expected to be posted for two business days from 04/24/2026, although it may be longer with business discretion. Benefits PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: 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 and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives. In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service. To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com. Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com. Please include "accommodation request" in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations. At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions. Equal Employment Opportunity (EEO) 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. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history. California Residents Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices. For nearly 160 years, PNC has strived to make a meaningful impact for our employees, customers, communities, and shareholders. We believe our success and positive reputation are built on open and honest dialogue, an unwavering focus on smart risk management, relationship-based customer service and community investments. Our inclusive workplace allows our employees to be heard, valued, and developed to do their best work. Being a great place to work means we are making a lasting difference for everyone we serve. Check out the top reasons to join PNC. PNC's total rewards package includes things like time off, benefits, learning and career development, wellness programs, recognition and much more. The benefits and programs highlighted below are just a sampling of what PNC offers its employees. To learn more, visit our Total Rewards page. If you're not ready to apply yet, or you'd like to learn more about PNC, join the Talent Community to receive regular updates on what's happening at PNC and available career opportunities. Click to join!