Apply on Employer Site

PNC · 1 week ago

FINRA Supervisory Principal - PNC Wealth Management

PNC Center - Cleveland (OH001)

Full-time

Onsite

Entry Level

$0/yr - $0/yr

1+ years exp

PNC is a financial services company that values its people as its greatest differentiator. The FINRA Supervisory Principal role involves executing regulatory risk initiatives, ensuring compliance documentation, and identifying potential audit issues within PNC Wealth Management.

BankingFinanceFinancial Services

No H1B

Responsibilities

Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas

Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary

Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business

Participates in regulatory and audit meetings as appropriate. May include participating in business staff meetings as appropriate to provide an update of status/progress

Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress

Qualification

FINRA Series 7FINRA Series 66FINRA Series 24Compliance ReportingRegulatory RequirementsRisk AssessmentsFinancial Risk ManagementCustomer RiskRisk ControlStrategic ObjectivesAccuracyInterpersonal RelationshipsOrganizational SavvyPoliticsPlanningOrganizingProcess ManagementRegulatory Environment - Financial ServicesDecision MakingAttention to Detail

Required

Bachelors

FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required

In addition, FINRA Series 4 and 53 required for trade review

Roles at this level typically require a university / college degree with < 1 year of professional experience and/or successful completion of a formal development program

In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered

Customer Focused - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions

Managing Risk - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework

Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role