Regional Supervision Officer (RSO) - PNC Investments

PNC; Plymouth (MI); Remote; USD 60,000 - 100,000; Full time

Job summary

An established industry player seeks a Regional Supervision Risk Officer to enhance compliance and risk management. This role involves collaborating with teams to identify suspicious practices and ensure adherence to regulatory standards. You will coach financial advisors and participate in audits, making a significant impact on the company's risk initiatives. With a focus on customer satisfaction and effective risk management, this position offers a chance to contribute to a culture of excellence. Join a dynamic team dedicated to fostering an inclusive workplace while navigating the complexities of financial regulations.

Benefits

Health Coverage

Life Insurance

Disability Protection

401(k) with Match

Pension

Stock Plans

Paid Time Off

Qualifications

• 2+ years of professional experience in risk management or compliance.
• Strong understanding of regulatory requirements and risk assessments.

Responsibilities

• Monitor compliance and risk reporting, escalating issues as needed.
• Engage with partners to ensure adherence to regulatory standards.

Skills

Compliance Reporting

Customer Risk

Decision Making

Regulatory Requirements

Risk Assessments

Risk Control

Strategic Objectives

Financial Analysis

Interpersonal Skills

Organizational Savvy

Education

University Degree

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.

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 and trains financial advisors on sales practices and regulatory updates. The position requires FINRA Series 7, 66 (or equivalent 63/65), and 24 (or equivalent 9/10).

This role can be based remotely, working from a confidential, approved home location. Availability may vary by geographic area.

Job Description

• Licensing: FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10).
• Partner with regulatory risk managers to execute risk initiatives, ensuring proper implementation across business units.
• Ensure documentation accuracy, including compliance validation and risk reporting, escalating issues as needed.
• Identify potential audit issues and MRAs, communicating plans to relevant teams.
• Participate in regulatory and audit meetings, providing updates on compliance status.
• Engage with internal and external partners to monitor regulatory compliance, contributing to business meetings with progress updates.

PNC Employee Expectations

• Customer Focused: Prioritize customer needs and satisfaction in all decisions, creating tailored solutions.
• Managing Risk: Assess and manage risks to support PNC's Enterprise Risk Management Framework.

Qualifications

Candidates should demonstrate relevant knowledge, skills, and experience, including a university degree and 2+ years of professional experience, or equivalent combination of education and experience.

Preferred Skills and Competencies

• Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
• Accuracy, Decision Making, Financial Analysis, Internal Controls, Interpersonal Skills, Organizational Savvy, Planning, Process Management, Regulatory Environment

Certifications and Licenses

Required: FINRA Series 7, 66 (or 63/65), and Series 24 (or 9/10).

Benefits

PNC offers comprehensive benefits including health coverage, life insurance, disability protection, 401(k) with match, pension, stock plans, paid time off, and more. For details, visit Your PNC Total Rewards.

Additional Information

For accommodation requests, contact [e-mail] or call 877-968-7762. PNC is committed to an inclusive workplace and provides reasonable accommodations for qualified applicants.

PNC is an equal opportunity employer, and this position complies with applicable laws and regulations, including the FDIA, SAFE Act, and FINRA requirements.

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