FINRA Supervisory Specialist Senior - PNC Wealth Management
Position OverviewAt 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 FINRA Supervisory Specialist Senior within PNC's Wealth Management organization, you will be based within the PNC footprint at one of the major hub locations.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 DescriptionResponsible for the supervision, trade review, and/or new accounts of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and reg and firm policy. Review surveillance alerts and reports assigned to them on a regional or centralized level to identify patterns, trends and/or concerns in regards to FAs' sales practice activity. Review trades and/or new accounts; diagnose, raise and process escalations, as well as other items requiring principal review and approval at the regional level. Cross-trained on multiple approved products, and considered an SME expected to handle escalated Level 2 review and more complex cases. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Responsible for initiating supervision-related projects, updating procedures, and assumes heightened responsibilities within the territory and complex review for patterns and trends. Works closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, 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, etc. to resolve complex matters.Monitors advisor and client activity, such as 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 the Firm's profitability by influencing Financial Advisors (FA) busi...