Supervision Specialist Senior at PNC

Setup: Hybrid
Location: Pittsburgh, Pennsylvania · Cleveland, Ohio · +1
Type: Full-time
Level: Senior

Description

PNC Wealth Management is seeking a Supervision Specialist Senior responsible for overseeing, reviewing, and approving trades and new accounts for financial advisors (FAs) and registered branches. This role ensures compliance with securities and insurance industry regulations and firm policies, identifies trends, resolves escalations, and conducts training and mentoring. The specialist collaborates with internal teams like Operations, Regional Supervision, and Compliance to manage risk, improve processes, and drive team development.

Required Skills

supervision
trade review
new accounts
compliance
surveillance alerts
trend analysis
escalated Level 2 review
proactive training
coaching
mentorship
process improvement solutions
critical thinking
decision-making skills

Additional Information

Required Previous Experiences: 3+ years of relevant/direct industry experience
Preferred Qualifications: 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.