Regional Supervision Officer - PNC Investments

PNC Investments; Louisville (KY); Remote; USD 70,000 - 100,000; Full time

Job summary

PNC Investments is seeking a Regional Supervision Officer to oversee compliance within the organization. The role focuses on training financial advisors, identifying compliance issues, and collaborating on risk initiatives. Candidates should have relevant licenses and experience, with a commitment to both customer service and risk management.

Benefits

Health coverage

401(k) plan

Paid time off

Wellness programs

Life insurance

Qualifications

• Minimum of 2+ years of professional experience required.
• Licenses include FINRA Series 7, 66, and 24 or equivalent.
• Relevant experience in compliance and risk management valued.

Responsibilities

• Monitor advisors for compliance with company policies.
• Collaborate with regulatory risk managers on risk initiatives.
• Provide training and coaching to financial advisors.

Skills

Analytical Skills

Compliance Knowledge

Communication

Education

Bachelor's degree or equivalent experience

Tools

FINRA Series 7

FINRA Series 66 (or 63/65)

FINRA Series 24 (or 9/10)

Job description

Regional Supervision Officer - PNC Investments

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Position Overview

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, a broker-dealer subsidiary of PNC Bank. This role collaborates with Compliance, the Central Review Desk, and Regional Sales Managers to identify suspicious patterns in sales and business practices. The RSO monitors advisors for adherence to company policies, acts as the regional escalation point for new business reviews, and proactively coaches and trains financial advisors on proper sales practices. The role also involves disseminating information on changes in firm policies, procedures, and the regulatory environment. Required licenses include FINRA Series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10).

This position can be remote, based in a location approved by PNC, and may not be available in all geographic areas.

Job Description

• Licensing requirements: FINRA Series 7/66 (or equivalent 65/65) and Series 24 (or equivalent 9/10).
• Partner with regulatory risk managers to execute risk initiatives, ensuring proper implementation across business units.
• Ensure documentation completeness, including compliance validation reports, control frameworks, and risk profiles, escalating issues as needed.
• Identify potential audit issues and MRAs, communicating these to relevant lines of business.
• Participate in regulatory and audit meetings, providing updates on progress and issues.
• Engage with internal and external partners to monitor regulatory compliance.

PNC employees are expected to be customer-focused and manage risks effectively, aligning with PNC’s enterprise risk management framework.

Qualifications

Candidates should demonstrate relevant knowledge, skills, and experience, including a minimum of 2+ years of professional experience and a bachelor’s degree or equivalent experience. Certifications are not mandatory but may be beneficial.

Certifications and Licenses

• FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10) are required.

Benefits

PNC offers comprehensive benefits including health coverage, life insurance, 401(k), wellness programs, paid time off, and more. For details, visit Your PNC Total Rewards.

Accommodation and EEO Statements

Applicants requiring accommodations should contact [e-mail] or call 877-968-7762. PNC is committed to an inclusive workplace and provides equal employment opportunities in accordance with applicable laws.