Finra Supervision Specialist - Pnc Wealth Management

PNC Bank

Pittsburgh, PA, US
Base: $45,000.00 – $109,500.00; bonus: incentive e...
Onsite
Review surveillance alerts and reports
Diagnose and process escalations
Conduct proactive training and coaching
The role involves supervising Financial Advisors and registered branches to ensure strict adherence to securities and insurance industry rules

Job Summary

  • The role involves supervising Financial Advisors and registered branches to ensure strict adherence to securities and insurance industry rules.
  • Employees will conduct trade reviews, analyze trends, and provide coaching to minimize regulatory and financial risk while upholding the firm's reputation.
  • PNC offers a comprehensive benefits package including medical coverage, 401(k) matching, pension plans, and up to 25 vacation days depending on career level.

Matching Summary

The role involves supervising Financial Advisors and registered branches to ensure strict adherence to securities and insurance industry rules.

Salary

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

Skills & Requirements

Must-have

  • Review surveillance alerts and reports
  • Diagnose and process escalations
  • Conduct proactive training and coaching
  • Monitor advisor and client activity
  • Resolve complex regulatory matters

Nice-to-have

  • Customer focused decision making
  • Risk management awareness
  • Critical thinking skills
  • Flexible and adaptable approach
  • Effective communication abilities

Key Requirements

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

Work Rights

Not specified

Tailored Resume

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