Supervision Supervisor - PNC Wealth Management

PNC Bank•Cleveland, OH

1d•Onsite

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 Supervision Supervisor within PNC Wealth Management, you will be based in Pittsburgh, PA, Cleveland, OH, Cincinnati, OH, Columbus, OH, Charlotte, NC, Raleigh, NC, Birmingham, AL, Houston, TX, or any additional HUB location within PNC's footprint. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

Requirements

Roles at this level typically require a university / college degree, with 3+ years of industry-relevant experience.
An operations or production environment position typically requires 2 years of previous managerial experience.
In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.
Series 7, 24 (or 9/10), 66 (or 63 and 65), (4 and 53 preferred if only 24)
This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and, for any registered role, the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA), which prohibit the hiring of individuals with certain criminal history.

Nice To Haves

4 and 53 preferred if only 24

Responsibilities

Supervises the team who monitors and reviews the sales practice activities of Financial Advisors on a centralized and regional level ensuring that the Firm is in compliance with meeting all regulatory requirements.
Has knowledge across multiple products to aid in leading departmental and firm-wide projects.
Considered an SME and leads/mentors the team in escalated reviews and more complex cases.
Works closely with the Supervision Group Manager and Director of Supervision, as well as other Team Leaders.
Works with other key business partners including Operations, Regional Supervision, Financial Advisors, Sales Management and Support Staff, Compliance, Legal and Risk partners to assist with escalations and other urgent issues both within and outside of their normal scope of work.
Works with other key business partners on firm-wide initiatives, new product rollouts, and product enhancements.
Supervises team and collaborates with various business partners including Legal, Risk, Compliance, Product, etc. to resolve complex matters.
Exhibits a strong conviction and a willingness to voice their opinion in order to gain effective results.
Manages risk and makes sound decisions by providing coaching and guidance to the team and 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.
Has knowledge across multiple projects to develop team's knowledge; inspires, engages, and promotes internal mobility by providing regular feedback; coaches and mentors others by applying strong interpersonal skills.
Responsible for proactive client contact when needed in determining suitability of escalated business and managing risk.
Be a Subject Matter Expert (SME) on products and processes on multiple Teams for Level 2 reviews and projects.
Leads defined work or projects to completion.
Cultivates diverse teams and inclusive workplaces to expand thinking.
Role models our values with transparency and courage.
Takes action to drive change and innovation that will transform our business.
Takes personal ownership to deliver results.
Empowers and trusts others in decision making.
Raises the bar with every talent decision and guides the achievement of all employees and customer.