FINRA Supervision Specialist - PNC Wealth Management
About The Position
Responsible for the supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and regulations 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. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Work 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) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. Uses critical thinking and decision-making skills to assist in the review of supervisory responsibilities by following proper procedures in adherence to applicable regulatory rules and compliance policies in a timely and appropriate manner. Responsible for requesting proactive client contact when needed in determining suitability of escalated business and managing risk.
Requirements
- University/college degree, with 2+ years of relevant professional experience (or a comparable combination of education, job-specific certification(s), and experience).
- Knowledge, skills, and abilities for the role.
- Accuracy and Attention to Detail
- Data Gathering and Reporting
- Decision Making and Critical Thinking
- Effective Communications
- Flexibility and Adaptability
- Industry Knowledge
- Managing Multiple Priorities
- Products and Services
- Regulatory Environment - Financial Services
- Risk Management
- Understanding Customer Needs
- Series 7 license
- Series 24 license (or 9/10)
- Series 66 license (or 63 and 65)
- Series 4 and 53 preferred if only Series 24
Nice To Haves
- Series 4 and 53 preferred if only Series 24
Responsibilities
- Supervision and trade review of Financial Advisors (FA) and registered branches.
- Review surveillance alerts and reports to identify patterns, trends, and concerns in FA sales practice activity.
- Review trades and/or new accounts, diagnose, raise and process escalations.
- Conduct proactive training, coaching, and mentoring of registered reps (RR).
- Complete trend analysis.
- Engage in complaint resolution and branch/hub audits.
- Collaborate with Operations, Regional Supervision, Financial Advisors, Sales Management, support staff, Compliance, Legal, and Risk partners.
- Monitor advisor and client activity (trade review, complaint resolution, communications, new accounts) for compliance and risk minimization.
- Provide coaching and guidance to Financial Advisors on policies, procedures, regulations, products, and practices.
- Influence FA business practices to minimize regulatory and financial risk and uphold the firm's reputation.
- Review supervisory responsibilities following proper procedures and adhering to regulatory rules and compliance policies.
- Request proactive client contact when needed to determine suitability of escalated business and manage risk.
Benefits
- medical/prescription drug coverage (with a Health Savings Account feature)
- dental and vision options
- employee and spouse/child life insurance
- short and long-term disability protection
- 401(k) with PNC match
- pension and stock purchase plans
- dependent care reimbursement account
- back-up child/elder care
- adoption, surrogacy, and doula reimbursement
- educational assistance, including select programs fully paid
- a robust wellness program with financial incentives
- maternity and/or parental leave
- up to 11 paid holidays each year
- 9 occasional absence days each year, unless otherwise required by law
- between 15 to 25 vacation days each year, depending on career level and years of service
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
