FINRA Supervision Specialist - PNC Wealth Management

Overview At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are united in delivering the best experience for our customers and fostering an inclusive workplace culture at various in‑office hubs across the United States. Responsibilities 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 and firm policy. Review surveillance alerts and reports on a regional and centralized level to identify patterns, trends and concerns in FAs' sales practice activity. Manage trade and account reviews, diagnose and process escalations, and conduct proactive training, coaching and mentoring of registered reps (RR). Work closely with Operations, Regional Supervision, Compliance, Legal and Risk partners to assist with escalations, new account approvals and daily trade review. Collaborates with business partners including Legal, Risk, Compliance, Product and external stakeholders to resolve complex matters. Monitors advisor and client activity such as trade review patterns, complaint resolution, communications and new accounts to ensure compliance with firm and regulatory requirements. Manages risk by providing coaching and guidance to Financial Advisors on policies, procedures, industry regulations, products and documentation. Supports the Firm’s business objectives and contributes to profitability by influencing FA business practices to minimize regulatory and financial risk. Uses critical thinking and decision‑making skills to oversee supervisory responsibilities in accordance with regulatory rules and compliance policies. Requests proactive client contact when needed to determine suitability of escalated business and manage risk. Desired Profile 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 to create customized solutions. Managing Risk – assesses and effectively manages risks associated with business objectives and activities to ensure adherence to and support of PNC’s Enterprise Risk Management Framework. Qualifications 2+ years of relevant professional experience in a supervisory or compliance role within financial services; a bachelor’s degree or equivalent combination of education and experience is preferred. Required licences: Series 7, 24 (or 9/10), 66 (or 63 and 65), with 4 and 53 preferred if only 24. No mandatory certifications required. 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 Knowledge Regulatory Environment – Financial Services Risk Management Understanding Customer Needs 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 any other protected category. This position is subject to the requirements of the Federal Deposit Insurance Act (FDIA), the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or FINRA, which prohibit the hiring of individuals with certain criminal history. Disability Accommodations Statement If an accommodation is required to participate in the application process, please contact the accommodations team via Email at View email address on click.appcast.io. For phone inquiries, call View phone number on click.appcast.io and say "Workday." All information will be kept confidential and used only to provide the necessary accommodation. California Residents Refer to the California Consumer Privacy Act Privacy Notice to understand how PNC may use or disclose your personal information in our hiring practices. #J-18808-Ljbffr Fairygodboss