FINRA Supervision Manager Senior - PNC Wealth Management

Position Overview

As a FINRA Supervision Manager Senior within PNC's Wealth Management organization, you will be based at a major hub location.

Manage the team who monitors and reviews the sales practice activities of Financial Advisors on a centralized and regional level ensuring the firm is compliant with all regulatory requirements.

Drive initiatives and independently lead departmental and firm projects.

Work closely with the Director of Supervision, Supervision Team Leaders, COO, Chief Compliance Officer, Chief Risk Officer, Operations, Executive Sales Management, Compliance, Legal and Risk partners to assist with escalations and other urgent issues.

Manage team across business partners including Legal, Risk, Compliance, Product, to resolve complex matters.

Exhibit strong conviction and willingness to voice opinions to achieve effective results.

Possess knowledge across multiple products to independently lead defined projects to completion.

Manage risk, make sound decisions with deep understanding of industry regulations, supervisory requirements, policies and procedures, and financial services products.

Inspire, engage, and promote internal mobility through regular feedback, coaching and mentoring.

Support firm objectives and contribute to profitability by influencing Financial Advisors to minimize regulatory and financial risk and uphold the firm’s reputation.

Use critical thinking to review supervisory responsibilities in adherence to applicable regulatory rules and compliance policies.

Serve as a subject‑matter expert on products, processes and projects. Initiate and participate in supervision projects to drive efficiencies and process improvements.

• Monitor and review sales practice activities of Financial Advisors at centralized and regional levels.
• Lead departmental and firm projects and initiatives.
• Collaborate with senior leaders (Director of Supervision, COO, Chief Compliance Officer, Chief Risk Officer).
• Coordinate with Operations, Executive Sales Management, Compliance, Legal and Risk partners on escalations.
• Resolve complex matters with Legal, Risk, Compliance, Product partners.
• Provide coaching, mentorship, and feedback to team members.
• Drive risk management and ensure compliance with regulatory requirements.
• Develop and execute supervision project work for process improvements.

Education:

Bachelor’s degree required; higher degrees or certifications desirable.

Experience:

8+ years in industry, 5+ years in management. Willingness and ability to manage team and projects.

Skills:

Decision Making, Critical Thinking, Effective Communication, Industry Knowledge, Managing Multiple Priorities, Organizational Leadership, Products and Services, Regulatory Environment.

Licenses/Certifications:

Series7,24 (or9/10),66 (or63 and
65). 4 and
53 preferred if only 24.

Base Salary: $ – $ (may vary by location and experience). Position is incentive eligible based on company, business and/or individual performance.

Medical/prescription drug coverage, dental and vision, employee and spouse/child life insurance, short and long‑term disability, 401(k) with match, pension, stock purchase plans, dependent care reimbursement, back‑up child/elder care, adoption, surrogacy, doula reimbursement, educational assistance, wellness program.

Paid time off: maternity/parental leave, up to 11 paid holidays, 9 occasional absence days (unless required by law), 15–25 vacation days per year based on career level and service years.

If accommodation is needed for the application process, contact  or call . All accommodations are confidential and used only as required.

PNC provides equal employment opportunity to qualified persons regardless of race, color, sex, religion, national origin, age, sexual orientation, gender identity, disability, veteran status, or other protected categories. This position is subject to applicable federal and state regulations regarding criminal history, FDIA, SAFE Act, and FINRA.