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. This role involves reviewing surveillance alerts and reports to identify patterns, trends, and concerns in FA sales practice activity. Key duties include reviewing trades and new accounts, diagnosing and escalating issues, and approving items requiring principal review. The specialist will also conduct proactive training, coaching, and mentoring of registered representatives, perform trend analysis, and engage in complaint resolution and branch/hub audits. Collaboration with various internal and external partners, including Operations, Regional Supervision, Financial Advisors, Sales Management, Compliance, Legal, and Risk, is essential for managing escalations, legal matters, complaints, new account approvals, and daily trade review. The role supports the firm's business objectives by influencing FA practices to minimize regulatory and financial risk, uphold the firm's reputation, and ensure adherence to regulatory rules and compliance policies.
Requirements
- University/college degree, with 2+ years of relevant professional experience (or comparable combination of education, certification, and experience).
- Knowledge, skills, and abilities appropriate 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 (or 9/10) license
- Series 66 (or 63 and 65) license
- Series 4 and 53 preferred if only Series 24 is held.
Nice To Haves
- Series 4 and 53 preferred if only Series 24 is held.
Responsibilities
- Supervise and review trades of Financial Advisors (FA) and registered branches.
- Ensure compliance with securities and insurance industry rules, regulations, and firm policy.
- Review surveillance alerts and reports to identify patterns, trends, and concerns in FA sales practice activity.
- Review trades and new accounts, diagnose and escalate issues, and approve items requiring principal review.
- Conduct proactive training, coaching, and mentoring of registered representatives.
- Perform trend analysis.
- Engage in complaint resolution and branch/hub audits.
- Collaborate with Operations, Regional Supervision, Financial Advisors, Sales Management, Compliance, Legal, and Risk partners.
- Assist with escalations, legal matters, complaints, new account approvals, and daily trade review.
- Resolve complex matters in collaboration with Legal, Risk, Compliance, Product, and external partners.
- Monitor advisor and client activity, including trade review, approval patterns, complaint resolution, communications, and new accounts.
- Manage risk by providing coaching and guidance to Financial Advisors on policies, procedures, regulations, financial service products, investment practices, and documentation.
- Support firm business objectives and profitability by influencing FA business practices to minimize risk and uphold the firm's reputation.
- Use critical thinking and decision-making skills to review supervisory responsibilities according to procedures, 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
- 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
