Regional Supervision Officer - PNC Investments

PNC; United States; Remote; USD 70,000 - 100,000; Full time

Job summary

PNC is seeking a Regional Supervision Risk Officer to ensure compliance with licensing requirements and monitor advisors' adherence to policies. This role involves collaboration with various teams to identify suspicious patterns and provide training on proper sales practices. Candidates should possess relevant licenses and have a bachelor's degree or equivalent experience.

Benefits

Health coverage

401(k) matching

Paid time off

Qualifications

• 2+ years of relevant professional experience.
• Licenses: FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10).

Responsibilities

• Ensure compliance with licensing requirements.
• Partner with regulatory risk manager to execute risk initiatives.
• Identify potential audit issues and communicate findings.

Skills

Customer Focused

Managing Risk

Education

Bachelor’s degree or equivalent experience

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 Description

The Regional Supervision Risk Officer (RSO) reports into PNC Investments, a broker-dealer subsidiary of PNC Bank. This role collaborates with Compliance, 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 in reviewing new business, and proactively coaches and trains financial advisors on proper sales practices, disseminating information on policy, procedural, and regulatory updates. The role requires FINRA Series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10).

This position can be based remotely, working from a confidential home space approved by PNC. Availability may vary by location.

Job Responsibilities

1. Ensure compliance with licensing requirements: FINRA Series 7/66 (or 63/65), Series 24 (or 9/10).
2. Partner with the regulatory risk manager to execute risk initiatives, challenge internal service partners, and ensure proper execution across business and risk areas.
3. Complete appropriate documentation, review risk reporting, and escalate issues when necessary.
4. Identify potential audit issues and MRAs, communicate findings and execution plans to relevant teams.
5. Participate in regulatory and audit meetings, providing updates on progress.
6. Engage with lines of business and external/internal partners to monitor regulatory compliance.

Core Values and Competencies

• Customer Focused: Prioritize customer needs and satisfaction in decision-making.
• Managing Risk: Assess and manage risks to support PNC's Enterprise Risk Management Framework.

Qualifications

Candidates should have:

• Bachelor’s degree or equivalent experience (including military service).
• 2+ years of relevant professional experience.
• Licenses: FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10).

Benefits

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

Additional Information

We provide accommodations for applicants with disabilities and promote an inclusive workplace. PNC is an Equal Opportunity Employer, and this position complies with applicable laws and regulations.