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FINRA Compliance Supervisor for Financial Advisors
Job in
Birmingham, Jefferson County, Alabama, 35275, USA
Listed on 2026-08-20
Listing for:
Fairygodboss
Full Time
position Listed on 2026-08-20
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist
Job Description & How to Apply Below
PNC is seeking a FINRA Supervisory Specialist within its Wealth Management organization, based at a major hub location. This in-office role focuses on supervision and trade review of Financial Advisors and registered reps to ensure compliance with securities and insurance rules.
You will partner with Operations, Risk, Compliance, Legal and other partners to support escalations, audits and ongoing regulatory compliance.
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