FINRA Supervision Specialist Senior - PNC Wealth Management

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 Supervision Specialist Senior within PNC Wealth Management, you will be based in Houston, TX at the Houston Plaza location.

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.

• Supervise trade review and/or new accounts of Financial Advisors and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and firm policy.
• Review surveillance alerts and reports on a regional or centralized level to identify patterns, trends and concerns in FAs’ sales practice activity.
• Review trades and/or new accounts; diagnose, raise and process escalations and other items requiring principal review and approval at the regional level.
• Cross‑train on multiple approved products and act as an SME expected to handle escalated Level2 review and more complex cases.
• Conduct proactive training, coaching and mentoring of registered reps, complete trend analysis, and engage in complaint resolution and branch/hub audits.
• Initiate supervision‑related projects, update procedures, and assume heightened responsibilities within the territory and complex review for patterns and trends.
• Collaborate with Operations, Regional Supervision, Financial Advisors, Sales Management, Compliance, Legal, and Risk partners to assist with escalations, legal matters, complaints, new account approvals, and daily trade review.
• Work with various business partners, including Legal, Risk, Compliance, Product, and external partners, to resolve complex matters.
• Monitor advisor and client activity—trade review and approval patterns, complaint resolution, communications, and new accounts—to ensure compliance with firm and regulatory requirements and minimize risk.
• Manage risk and make sound decisions by providing coaching and guidance to Financial Advisors on policies, procedures, industry regulations, financial service products, investment practices, and documentation to promote risk awareness and a compliant environment.
• Support the firm’s business objectives and contribute to profitability by influencing Financial Advisors’ business practices in ways that minimize regulatory and financial risk while upholding the firm’s reputation.
• Apply critical thinking and decision‑making skills to review supervisory responsibilities following proper procedures in adherence to applicable regulatory rules and compliance policies.
• Identify and lead process‑improvement solutions across supervision by initiating project work, updating procedures, and participating in ongoing department and firm initiatives.
• Demonstrate leadership by driving new team member and Financial Advisor training and onboarding mentorship.

• Accuracy and Attention to Detail
• Data Gathering and Reporting
• Decision Making and Critical Thinking
• Effective Communications
• Flexibility and Adaptability
• Industry Knowledge
• Managing Multiple Priorities
• Products and Services Knowledge
• Regulatory Environment - Financial Services
• Risk Management
• Understanding Customer Needs

Roles at this level typically require a university or college degree, with 3+ years of relevant direct industry experience. In lieu of a degree, a comparable combination of education, job‑specific certification(s), and experience (including military service) may be considered.

Education:

Bachelor’s degree.

Licenses/Certifications:

No required certification(s); licenses Series7,24 (or 9/10),66 (or 63 and 65). Preferably 4 and 53 if only 24.

Base Salary: $82,500.00 – $. This role is incentive eligible with payment based upon company, business, and/or individual performance.

• Medical and…