Note: The job is a remote job and is open to candidates in USA. PNC is a leading financial services company that prioritizes the experience of its customers. As a FINRA Supervisory Principal within PNC Wealth Management, you will partner with regulatory risk managers to execute initiatives, ensure compliance documentation, and monitor regulatory adherence across business lines.

Responsibilities

• Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives.
• 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.

Skills

• Licensing requirements: FINRA Series 7/66 (63/65). Series 24 (9/10)
• 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.
• FINRA Series 7, 66 (or 63/65), 24 (or 9/10) required.
• FINRA Series 4 and 53 required for trade review.
• Compliance Reporting
• Customer Risk
• Decision Making
• Regulatory Requirements
• Risk Assessments
• Risk Control
• Strategic Objectives
• State insurance license preferred.

Benefits

• Medical/prescription drug coverage (with a Health Savings Account feature)
• Dental and vision options
• Employee and spouse/child life insurance
• Short and long-term disability protection
• 401(k) with PNC match
• Pension and stock purchase plans
• Dependent care reimbursement account
• Back-up child/elder care
• Adoption, surrogacy, and doula reimbursement
• Educational assistance, including select programs fully paid
• A robust wellness program with financial incentives
• Maternity and/or parental leave
• Up to 11 paid holidays each year
• 8 occasional absence days each year, unless otherwise required by law
• Between 15 to 25 vacation days each year, depending on career level

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