Counsel-Broker-Dealer

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 Counsel within PNC’s Corporate Governance organization, you will be based in Philadelphia or Pittsburgh, PA; Birmingham, AL; Cleveland, OH; Washington, D.C. PNC Wealth Management (PNCWM) is PNC’s fast-growing retail investment adviser/broker-dealer. PNCWM’s advice and planning model places an emphasis on managed accounts and PNCWM’s advisory wrap accounts have over $30 billion in assets under management. We are seeking an attorney with experience in investment adviser and broker-dealer regulatory matters to join a team of legal professionals focused on supporting PNCWM as it continues to grow. The successful candidate will have experience with FINRA and SEC regulation of broker-dealers. Familiarity with regulation of investment advisers and/or insurance agencies is also desirable. Within the PNCWM legal team, you will have opportunities to work closely with counterparts supporting related lines of business, including PNC’s Retail Banking, Private Bank and Capital Markets businesses, as well as PNC’s government and regulatory affairs groups. Your principal functions will include: Primary responsibility for providing legal advice regarding PNCWM’s broker-dealer, including new product and service offerings Interacting directly with PNCWM’s senior business management and compliance and risk management personnel Monitoring for and advising PNCWM on forthcoming regulations and regulatory guidance issued by PNCWM’s primary regulators Developing policies and practices to ensure regulatory and legal compliance Representing PNCWM in interactions with external counsel and counsel for other parties, including fund companies and clearing brokers; and Performing work independently with minimal supervision while exercising sound, independent judgment and discretion The successful candidate will meet the following requirements: Typically at least five years of experience in investment adviser and broker-dealer regulatory matters and demonstrated ability to fulfill designated responsibilities Under special circumstances, advanced knowledge in a highly specialized legal area may be substituted for fewer overall years of experience The candidate must have an understanding of the securities regulatory process and applicable SEC rules and prior experience with a regulator or another dual registrant is desirable J.D. or equivalent degree from an accredited law school Currently licensed to practice in the courts of one or more states; and Demonstrated good judgment, strong legal analysis, and oral and written communication skills 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 Identifies and manages legal risk for the organization. Conducts research, provides procedural legal advice, and participates in the support and resolution of significant legal matters. Provides enterprise perspective and partnership to inside and outside legal counsel. Reviews and prepares transactional and other routine legal documentation. 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 Legal Compliance, Legal Consulting, Legal Practices, Legal Risk, Regulatory Compliance, Risk Assessments Competencies Accuracy and Attention to Detail, Business Acumen, Business Ethics, Decision Making and Critical Thinking, Effective Communications, Establishing and Maintaining Trust, External Resource Management, Influencing, Legal Analysis, Legal Function, Managing Multiple Priorities, Problem Solving Work Experience Roles at this level require a Juris Doctorate (J.D.) degree from an accredited law school and licensed to practice law in at least one jurisdiction. Industry-relevant experience is typically 8+ years. Education JD (Required) Certifications Active State License - Multiple Issuers Licenses No Required License(s) Pay Transparency Base Salary: $80,000.00 – $232,050.00 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 04/02/2026, 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 View email address on click.appcast.io. 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 View phone number on click.appcast.io 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. #J-18808-Ljbffr Dormont Manufacturing Co