FINRA Supervision Manager Senior - Wealth Management

FINRA Supervision Manager Senior

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 Manager Senior within PNC's Wealth Management organization, you will be based within the PNC footprint at a major hub 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. PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.

Manage the team who monitors and reviews the sales practice activities of Financial Advisors on a centralized and regional level ensuring that the Firm is in compliance with meeting all regulatory requirements. Drives initiatives and independently leads departmental and firm projects. Work closely with the Director of Supervision, as well as Supervision Team Leaders, Chief Operations Officer, the Chief Compliance Officer and the Chief Risk Officer to assist with departmental and firm projects and initiatives.

Work closely with Operations, Executive Sales Management, Compliance, Legal and Risk partners to assist with escalations and other urgent issues both within and outside of their normal scope of work.

• Manages team and collaborates with various business partners including Legal, Risk, Compliance, Product, etc. to resolve complex matters. Exhibits a strong conviction and a willingness to voice their opinion in order to gain effective results.
• Has knowledge across multiple products to independently lead defined departmental and firm projects to completion.
• Ability to manage risk, make sound decisions by having a deep understanding of industry regulations, supervisory requirements, policies/procedures, and financial services products.
• Inspires, engages, and promotes internal mobility by providing regular feedback; coaches and mentors others by applying strong interpersonal skills.
• 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 in adherence to applicable regulatory rules and compliance policies.
• Is a Subject Matter Expert (SME) on products, processes and projects.
• Initiates supervision project work and active project participation to drive efficiencies and process improvements

PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be:

• Customer Focused
  - Knowledgeable of the values and practices that align customer needs and satisfaction as primary considerations in all business decisions and able to leverage that information in creating customized customer solutions.
• Managing Risk
  - Assessing and effectively managing all of the risks associated with their business objectives and activities to ensure they adhere to and support PNC's Enterprise Risk Management Framework.

PNC also has fundamental expectations of our people managers. As a manager of talent in PNC, you will be expected to:

• Include Intentionally
  - Cultivates diverse teams and inclusive workplaces to expand thinking.
• Live the Values
  - Role models our values with transparency and courage.
• Enable Change
  - Takes action to drive change and innovation that will transform our business.
• Achieve Results
  - Takes personal ownership to deliver results. Empowers and trusts others in decision making.
• Develop the Best
  - Raises the bar with every talent decision and guides the achievement of all employees and customer.

Decision Making and Critical Thinking, Effective Communications, Industry Knowledge, Managing Multiple Priorities,…