Finra Supervisory Specialist Senior - Pnc Wealth Management

PNC Bank

Pittsburgh, PA, US
Base: $55,000.00 – $121,000.00; bonus: incentive e...
Review surveillance alerts for suspicious patterns
Conduct proactive training and coaching for advisors
Manage complex escalated level 2 review cases
This role serves as a regional escalation point to identify suspicious patterns in sales practices and ensure compliance with firm policies

Job Summary

  • This role serves as a regional escalation point to identify suspicious patterns in sales practices and ensure compliance with firm policies.
  • The position requires proactively coaching financial advisors on proper sales practices and disseminating information on regulatory changes.
  • PNC offers comprehensive benefits including medical coverage, 401(k) matching, and up to 25 vacation days depending on career level.

Matching Summary

This role serves as a regional escalation point to identify suspicious patterns in sales practices and ensure compliance with firm policies.

Salary

Base: $55,000.00 – $121,000.00; Bonus: Incentive eligible based on performance; Benefits: Medical, dental, vision, 401(k) match, pension

Skills & Requirements

Must-have

  • Review surveillance alerts for suspicious patterns
  • Conduct proactive training and coaching for advisors
  • Manage complex escalated Level 2 review cases
  • Ensure adherence to securities and insurance rules
  • Perform regional branch and hub audits

Nice-to-have

  • Strong critical thinking and decision-making skills
  • Experience with process improvement initiatives
  • Ability to foster inclusive workplace culture
  • Collaboration with legal and risk partners

Key Requirements

  • Series 7 license required
  • Series 66 or equivalent (63/65) required
  • Series 24 or equivalent (9/10) required
  • Bachelor's degree preferred
  • 3+ years relevant industry experience
  • No visa sponsorship available

Work Rights

Not specified

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