FINRA Supervisory Principal - PNC Wealth Management

PNC Bank • Cleveland, PA

10d • Remote

About The Position

At PNC, our people are our greatest differentiator and competitive advantage in the markets we serve. We are all united in delivering the best experience for our customers. We work together each day to foster an inclusive workplace culture where all of our employees feel respected, valued and have an opportunity to contribute to the company’s success. As a FINRA Supervisory Principal within PNC Wealth Management, you may be based in a remote location. This is a remote position. Work may be performed from a quiet, confidential space in a home location, approved by PNC. This position may not be available in all geographic locations. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas. Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary. Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business. Participates in regulatory and audit meetings as appropriate. May include participating in business staff meetings as appropriate to provide an update of status/progress. Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress. PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be: Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions. Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.

Requirements

• Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role.
• Roles at this level typically require a university / college degree with < 1 year of professional experience and/or successful completion of a formal development program.
• In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
• FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required.
• In addition, FINRA Series 4 and 53 required for trade review.

Nice To Haves

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives
• State insurance license preferred.

Responsibilities

• Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives.
• Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas.
• Ensures appropriate documentation is completed.
• Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary.
• Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas.
• Communicates those potential issues and the execution plan to the lines of business.
• Participates in regulatory and audit meetings as appropriate.
• May include participating in business staff meetings as appropriate to provide an update of status/progress.
• Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations.
• Participates in business staff meetings to provide an update of status/progress.

Benefits

• PNC offers a comprehensive range of benefits to help meet your needs now and in the future.
• Depending on your eligibility, options for full-time employees include: 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.
• In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 8 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.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level