FINRA Supervisory Principal Senior - PNC Wealth Management

* 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.* Identifies and leads process improvement solutions across Supervision by initiating project work, update procedures, participate in ongoing department and firm initiatives.* Demonstrate leadership by driving new team member and FA training and onboarding mentorship.PNC’s total rewards package includes things like time off, benefits, learning and career development, wellness programs, recognition and much more. The benefits and programs highlighted below are just a sampling of what PNC offers its employees. To learn more, visit our .
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