Finra Supervisory Principal - Pnc Wealth Management

PNC Bank

Pittsburgh, PA, US
Base: $45,000.00 – $109,500.00; bonus: incentive e...
Review surveillance alerts and reports
Diagnose and process escalations
Conduct proactive training and coaching
The role involves supervising Financial Advisors and reviewing trades to ensure compliance with securities rules and firm policies

Job Summary

  • The role involves supervising Financial Advisors and reviewing trades to ensure compliance with securities rules and firm policies.
  • Candidates will conduct trend analysis, manage complaint resolutions, and provide coaching to promote a compliant environment.
  • PNC offers comprehensive benefits including medical coverage, 401(k) matching, and up to 25 vacation days depending on career level.

Matching Summary

The role involves supervising Financial Advisors and reviewing trades to ensure compliance with securities rules and firm policies.

Salary

Base: $45,000.00 – $109,500.00; Bonus: Incentive eligible based on performance; Benefits: Comprehensive medical, dental, vision, 401(k) match, and paid time off

Skills & Requirements

Must-have

  • Review surveillance alerts and reports
  • Diagnose and process escalations
  • Conduct proactive training and coaching

Nice-to-have

  • Critical thinking and decision-making skills
  • Inclusive workplace culture
  • Customer-focused business decisions

Key Requirements

  • Series 7 license required
  • Series 24 or 9/10 license required
  • Series 66 or 63/65 license required
  • Bachelor's degree or equivalent experience
  • 2+ years relevant professional experience

Work Rights

Not specified

Tailored Resume

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