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FINRA Supervision Specialist at PNC

Compensation

$75,000 – $125,000/yr

Setup
Hybrid
Location
Pittsburgh, Pennsylvania · Cleveland, Ohio
Type
Full-time
Level
not_specified
Posted

Description

PNC is seeking a FINRA Supervision Specialist to oversee and supervise Financial Advisors and registered branches, ensuring compliance with securities and insurance industry regulations and firm policies. The specialist will conduct trade reviews, monitor advisor/client activity, manage risk, and collaborate with internal teams like Operations, Compliance, and Legal to resolve complex matters and maintain a compliant environment.

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