Regional Supervision Officer (RSO) - PNC Investments

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

Job summary

An established industry player is seeking a Regional Supervision Officer to ensure compliance and enhance sales practices in a remote setting. This role involves monitoring business compliance, coaching financial advisors, and identifying suspicious patterns. The company values its employees and fosters an inclusive culture where everyone can contribute to success. Join a team dedicated to delivering exceptional customer experiences while enjoying comprehensive benefits and a supportive work environment.

Benefits

Health Coverage

401(k)

Paid Time Off

Comprehensive Benefits

Qualifications

• 2+ years of experience in financial services with relevant licenses.
• Strong understanding of compliance and regulatory requirements.

Responsibilities

• Monitor sales practices and ensure compliance with regulations.
• Coach financial advisors on sales practices and changes.

Skills

Sales Practices Monitoring

Compliance Knowledge

Coaching and Training

Regulatory Adherence

Education

Bachelor's Degree

Tools

FINRA Licenses (Series 7, 66, 24)

Job description

Regional Supervision Officer (RSO) - 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 opportunities to contribute to the company’s success.

Job Responsibilities

• Monitor sales practices and business compliance within the region, working with Compliance, Central Review Desk, and Regional Sales Managers.
• Identify suspicious patterns and ensure adherence to company policies and regulatory requirements.
• Coach and train financial advisors on sales practices and regulatory changes.
• Review and escalate new business cases as the regional escalation point.

Qualifications

• FINRA Series 7, 66 (or equivalent 63/65), and Series 24 (or equivalent 9/10) licenses required.
• 2+ years of relevant professional experience, preferably with a bachelor’s degree.

Additional Information

This position is remote, and work can be performed from a quiet, confidential space in a home location, subject to approval. Not all locations may be eligible.

Benefits

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