FINRA Supervisory Specialist - PNC Wealth Management

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.

As a FINRA Supervisory Specialist within PNC's Wealth Management organization, you will be based within the PNC footprint at a major hub location.

Responsible for the supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and reg and firm policy. Review surveillance alerts and reports assigned to them on a regional or centralized level to identify patterns, trends and/or concerns in regards to FAs' sales practice activity.

Review trades and/or new accounts; diagnose, raise and process escalations, as well as other items requiring principal review and approval at the regional level. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Work closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, Compliance, Legal and Risk partners to assist with escalations, legal matters, complaints, new account approvals and daily trade review.

- Collaborates with various business partners including Legal, Risk, Compliance, Product and external partners, etc. to resolve complex matters. - Monitors advisor and client activity, such as trade review and approval patterns and trends, complaint resolution, communications, and new accounts to ensure compliance with firm and regulatory requirements and minimize risk. - Manages risk and makes sound decisions by providing coaching and guidance to Financial Advisors on policies and procedures, industry regulations, financial service products, investment practices, and documentation to promote risk awareness and a compliant environment. - Supports the Firm's business objectives and contributes to the Firm's profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms' reputation. - Uses critical thinking and decision-making skills to assist in the review of supervisory responsibilities by following proper procedures in adherence to applicable regulatory rules and compliance policies in a timely and appropriate manner. - Responsible for requesting proactive client contact when needed in determining suitability of escalated business and managing risk.

Competencies Accuracy and Attention to Detail, Data Gathering and Reporting, Decision Making and Critical Thinking, Effective Communications, Flexibility and Adaptability, Industry Knowledge, Managing Multiple Priorities, Products and Services, Regulatory Environment - Financial Services, Risk Management, Understanding Customer Needs

Work Experience Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Licenses Series 7, 24 (or 9/10), 66 (or 63 and 65), (4 and 53 preferred if only 24)

Generally, this opening is expected to be posted for two business days from 05/15/2026, although it may be longer with business discretion.