Regional Supervision Officer - PNC Investments

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

Job summary

PNC is seeking a Regional Supervision Risk Officer responsible for monitoring compliance and coaching financial advisors. This role requires FINRA licenses and relevant experience, focusing on risk management and regulatory adherence. The position can be remote, offering a competitive salary and comprehensive benefits.

Benefits

Health coverage

Retirement plans

Paid time off

Educational assistance

Wellness programs

Qualifications

• Relevant work experience (typically 2+ years).
• FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10) licenses required.

Responsibilities

• Monitor advisors for policy adherence and coach on sales practices.
• Participate in regulatory and audit meetings, providing updates.
• Identify potential audit issues and escalate as necessary.

Skills

Customer Focused

Managing Risk

Education

Bachelor's degree preferred

Job description

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.

Role Summary: The Regional Supervision Risk Officer (RSO) reports to 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 policy adherence, acts as the regional escalation point for new business reviews, and proactively coaches financial advisors on sales practices and regulatory updates. The role requires FINRA Series 7, 66 (or equivalent 63/65), and 24 (or equivalent 9/10).

This position can be based remotely, working from a confidential space in a home location approved by PNC. Note that the role may not be available in all geographic areas.

Job Description

1. Maintain licensing requirements: FINRA Series 7/66 (or equivalent 65/65) and Series 24 (or equivalent 9/10).
2. Partner with the regulatory risk manager to execute risk initiatives, including setup, monitoring, and challenge of internal service partners to ensure proper execution across business and risk areas.
3. Ensure completion of appropriate documentation, including review of compliance validation reports, control frameworks, and risk profiles, escalating issues as necessary.
4. Identify potential audit issues and MRAs, ensuring timely and appropriate responses, and communicate these to relevant business lines.
5. Participate in regulatory and audit meetings, providing updates on status and progress.
6. Engage with internal and external partners to monitor regulatory compliance and participate in business meetings for updates.

Company Values and Expectations

PNC employees are expected to be:

• Customer Focused: Prioritize customer needs and satisfaction in all decisions, leveraging this understanding to create tailored solutions.
• Managing Risk: Assess and manage risks associated with business activities, supporting PNC’s Enterprise Risk Management Framework.

Qualifications

Candidates should demonstrate relevant skills, experience, and education, including:

• Relevant work experience (typically 2+ years), preferably with a university/college degree or equivalent experience.
• Bachelor’s degree preferred.
• Certifications: No specific certifications required beyond FINRA licenses.
• Licenses: FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10).

Benefits

PNC offers a comprehensive benefits package including health coverage, retirement plans, paid time off, educational assistance, wellness programs, and more. For details, visit Your PNC Total Rewards.

Additional Information

Applicants requiring accommodations should contact [e-mail] or call 877-968-7762. PNC is committed to an inclusive workplace and provides equal employment opportunities regardless of protected categories.