Regional Supervision Officer - PNC Investments

PNC • Lakeland, FL

245d • 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. The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker-dealer subsidiary of PNC Bank. This role works with Compliance, Central Review Desk and Regional Sales Managers to identify suspicious patterns in sales and business practices. The RSO also monitors advisors for adherence to company policies and acts as the regional escalation point in the review of new business. In addition, the RSO proactively coaches and trains financial advisors on proper sales practices and disseminate information on changes in firm policy, procedure and the regulatory environment. This role requires the FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10). As a Regional Supervision Officer (RSO) within PNC Investments, 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.

Requirements

• FINRA Series 7, 66 (or equivalent 63, 65) and Series 24 (or equivalent 9, 10) required.
• Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience.
• In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Nice To Haves

• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives

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.

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
• 8 occasional absence days each year
• 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
• Industry: Credit Intermediation and Related Activities
• Education Level: Bachelor's degree