FINRA Supervisory Specialist - PNC Wealth Management

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 [position title] within PNC's [name of division] organization, you will be based in [city/state location of position] . Job Profile As a FINRA Supervisory Specialist within PNC's Wealth Management organization, you will be based within the PNC footprint at a major hub location. 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 Responsible for the supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules, regulations, and firm policy. Review surveillance alerts and reports to identify patterns, trends, and concerns regarding FAs' sales practices. Review trades and new accounts, diagnose, raise, and process escalations and conduct proactive training, coaching, and mentoring of registered representatives (RR). Complete trend analysis, engage in complaint resolution, and conduct branch/hub audits. Work closely with Operations, Regional Supervision, Sales Management, Compliance, Legal, and Risk partners to assist with escalations, legal matters, complaints, new account approvals, and daily trade review. Collaborates with various business partners including Legal, Risk, Compliance, Product and external partners to resolve complex matters. Monitors advisor and client activity, including trade review and approval patterns and trends, complaint resolution, communications, and new accounts to ensure compliance with firm and regulatory requirements and minimize risk. Manages risk and makes sound decisions by providing coaching and guidance to Financial Advisors on policies and procedures, industry regulations, financial service products, investment practices, and documentation to promote risk awareness and a compliant environment. Supports the firm's business objectives and contributes to profitability by influencing Financial Advisors' business practices in ways that minimize regulatory and financial risk and uphold the firm's reputation. Uses critical thinking and decision‑making skills to assist in the review of supervisory responsibilities by following proper procedures in adherence to applicable regulatory rules and compliance policies in a timely manner. Requests proactive client contact when needed to determine suitability of escalated business and manage risk. Qualifications Competencies Accuracy and Attention to Detail Data Gathering and Reporting Decision Making and Critical Thinking Effective Communications Flexibility and Adaptability Industry Knowledge Managing Multiple Priorities Products and Services Regulatory Environment - Financial Services Risk Management Understanding Customer Needs Work 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, job‑specific certification(s), and experience (including military service) may be considered. Education Bachelor's degree preferred. Certifications No required certifications. Licenses Series 7, 24 (or 9/10), 66 (or 63 and 65), (4 and 53 preferred if only 24) Pay Transparency Base Salary: $45,000.00 – $142,350.00. Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible. Application Window The position is expected to be posted for two business days from 05/15/2026, though may be longer with business discretion. Benefits 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 Backup child/elder care Adoption, surrogacy, and doula reimbursement Educational assistance, including select programs fully paid Robust wellness program with financial incentives Maternity and/or parental leave Up to 11 paid holidays each year 9 occasional absence days each year 15‑25 vacation days each year based on career level Disability Accommodations Statement If an accommodation is required to participate in the application process, contact View email address on click.appcast.io, subject line 'accommodation request', including your name, the Job ID, and preferred method of contact. Applicants may also call View phone number on click.appcast.io and say 'Workday' for assistance. All information will be kept confidential and used only for accommodation purposes. All applicants will be provided reasonable accommodation in accordance with applicable law. 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 and other protected categories. This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act, the SAFE Act, and FINRA regulations. California Residents Refer to the California Consumer Privacy Act Privacy Notice to understand how PNC may use or disclose your personal information in hiring practices. #J-18808-Ljbffr Fairygodboss