PNC
Financial Services
FINRASupervisorySpecialist
“FINRA Supervisory Specialist at PNC. Skills: FINRA Supervisory Specialist, Supervision, Trade review, Compliance, Risk Management. Supervision and trade review of Financial Advisors (FA) and registered branches. Ensure compliance with securities and insurance industry rules and regulations and firm policy”
What You'll Achieve.
Minimize regulatory and financial risk; Uphold the Firms' reputation; Promote risk awareness and a compliant environment
Industry & Context.
Decision Making and Critical Thinking
Subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA), For any registered role, subject to 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.
What They're Looking For.
Must Have
2+ years of relevant professional experience, Series 7, Series 24 (or 9/10), Series 66 (or 63 and 65)
Nice to Have
Series 4, Series 53
What You'll Do.
Supervision and trade review of Financial Advisors (FA) and registered branches
Ensure compliance with securities and insurance industry rules and regulations and firm policy
Review surveillance alerts and reports to identify patterns
trends and/or concerns in FA's sales practice activity
Review trades and/or new items requiring principal review and approval
Conduct proactive training
coaching and mentoring of registered reps (RR)
Complete trend analysis
Engage in complaint resolution and branch/hub audits
Assist with escalations
new account approvals and daily trade review
Monitor advisor and client activity
Manage risk and make sound decisions by providing coaching and guidance to Financial Advisors on policies and procedures
financial service products
Support the Firm's business objectives and contribute 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
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
Request proactive client contact when needed in determining suitability of escalated business and managing risk
How You'll Work.
Team & Collaboration
Work closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, Compliance, Legal and Risk partners; Collaborates with various business partners including Legal, Risk, Compliance, Product and external partners
Communication Scope
Effective Communications
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