PNC Bank

FINRA Supervision Specialist - PNC Wealth Management

Full-time · Charlotte, NC

✓ Verified live on the employer's own system · added 50 days ago

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Junior · 2+ yrs exp

Requirements

Education: Bachelor's degree

Experience: 2+ years

License: Series

Skills & tools

CommunicationsInsurance LicenseDisability AccommodationsWealth ManagementSecuritiesSecurityCoachingEnterprise Risk Management

Benefits — mentioned in this posting

Health, dental & vision401(k) / retirementEquity / stockTuition / educationWellness & perksPaid time offFamily / parental leave

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Full job description

We are recruiting a FINRA Supervision Specialist to oversee and review the trade activities of Financial Advisors and registered branches, ensuring compliance with industry regulations.

The role involves monitoring sales practices, conducting risk assessments, and providing coaching to advisors. Ideal candidates will have relevant experience and strong regulatory knowledge.

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This posting was published by PNC Bank on their own careers system and is shown here with a direct link to apply there. Employers: for corrections or removal, contact jobs@veritahire.com.