Job Description
Position Overview 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 Principal within PNC Wealth Management, you will be based in Pittsburgh, PA, Cleveland, OH, Cincinnati, OH, Columbus, OH, Grand Rapids, MI, Charlotte, NC, Raleigh, NC, Birmingham, AL, Houston, TX, or any additional HUB location within PNC's footprint. PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position. Job Description 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,