Supervision Supervisor - Pnc Wealth Management

PNC Bank

Pittsburgh, PA, US
Base: $55,000.00 – $138,000.00; bonus: incentive e...
Supervise team reviewing sales activities
Ensure regulatory compliance adherence
Manage risk and escalate complex cases
The role involves supervising a team that monitors and reviews the sales practice activities of Financial Advisors to ensure regulatory compliance

Job Summary

  • The role involves supervising a team that monitors and reviews the sales practice activities of Financial Advisors to ensure regulatory compliance.
  • Employees are expected to act as Subject Matter Experts, leading escalated reviews and mentoring team members on complex cases.
  • PNC offers comprehensive benefits including medical coverage, 401(k) matching, pension plans, and up to 25 vacation days depending on career level.

Matching Summary

The role involves supervising a team that monitors and reviews the sales practice activities of Financial Advisors to ensure regulatory compliance.

Salary

Base: $55,000.00 – $138,000.00; Bonus: Incentive eligible based on performance; Benefits: Comprehensive range including medical, dental, vision, 401(k), and pension.

Skills & Requirements

Must-have

  • Supervise team reviewing sales activities
  • Ensure regulatory compliance adherence
  • Manage risk and escalate complex cases
  • Collaborate with Legal and Compliance partners
  • Provide coaching on investment practices

Nice-to-have

  • Strong conviction in voicing opinions
  • Promote inclusive workplace culture
  • Drive firm-wide initiatives and innovation
  • Proactive client contact for suitability
  • Inspire internal mobility through feedback

Key Requirements

  • Bachelor's degree required
  • Series 7, 24, 66 (or 63/65) licenses
  • 3+ years industry-relevant experience
  • 2 years previous managerial experience
  • No visa sponsorship provided

Work Rights

Not specified

Tailored Resume

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