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.

The Regional Supervision Risk Officer (RSO) reports into PNC Investments, which is a broker-dealer subsidiary of PNC Bank. This role works with Compliance, Central Review Desk and Regional Sales Managers to identify suspicious patterns in sales and business practices. The RSO also monitors advisors for adherence to company policies and acts as the regional escalation point in the review of new business. In addition, the RSO proactively coaches and trains financial advisors on proper sales practices and disseminate information on changes in firm policy, procedure and the regulatory environment. This role requires the FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10).

As a Regional Supervisory Officer (RSO), within PNC Investments, you will be based in Ridgewood, NJ or remote.

Job Description

• Licensing requirements: FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10).

• Partners with regulatory risk manager to execute regulatory risk initiatives including setting up, building and monitoring initiatives. Challenges internal service partners and lines of business to ensure appropriate execution within and across business and risk areas.

• Ensures appropriate documentation is completed. Includes review of reporting by risk area on compliance validation, control framework and risk profiles, escalating issues to management when necessary.

• Identifies potential audit issues and MRAs to ensure timely and appropriate execution by business and risk areas. Communicates those potential issues and the execution plan to the lines of business.

• Participates in regulatory and audit meetings as appropriate. May include participating in business staff meetings as appropriate to provide an update of status/progress.

• Interacts with lines of business, and/or external and internal partners, in their role of monitoring the execution of regulations. Participates in business staff meetings to provide an update of status/progress.

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.

Competencies

Accuracy and Attention to Detail – Understanding of the necessity and value of accuracy and attention to detail; ability to process information with high levels of accuracy.

Decision Making and Critical Thinking – Understanding of the issues related to the decision-making process; ability to analyze situations fully and accurately, and reach productive decisions.

Financial Analysis – Knowledge of and ability to read, interpret and draw accurate conclusions from financial and numerical material.

Financial Risk Management – Knowledge of tools, techniques, and strategies applied in financial risk management; the ability to quantify, qualify, and manage financial risk.

Internal Controls – Knowledge of and ability to create, implement, evaluate and enhance processes in internal controls.

Interpersonal Relationships – Knowledge of the techniques and the ability to work with a variety of individuals and groups in a constructive and collaborative manner.

Organizational Savvy and Politics – Knowledge of organizational politics and political tactics; ability to effectively navigate formal and informal communication and decision-making channels.

Planning and Organizing – Mobilizes both time and resources to get things done.

Process Management – Knowledge of business process improvement tools and techniques and ability to understand, monitor, update, or enhance existing business or work processes.

Regulatory Environment - Financial Services – Knowledge of and ability to help an organization adapt to applicable federal, state, local, and company-specific regulations, policies, and guidelines affecting business practices.

Work Experience

Roles at this level typically require a university / college degree, with 2+ years of relevant professional experience. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.

Education

Bachelors

Additional Job Description

Benefits

PNC offers employees a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include medical/prescription drug coverage (with a Health Savings Account feature); dental and vision options; employee and spouse/child life insurance; short- and long-term disability protection; maternity and parental leave; paid holidays, vacation days and occasional absence time; 401(k), pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption assistance; educational assistance and a robust wellness program with financial incentives. To learn more about these and other programs, including benefits for part-time employees, visit pncbenefits.com > New to PNC.

Disability Accommodations Statement:

If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com . Please include “accommodation request” in the subject line title and be sure to include your name, the job ID, and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call 877-968-7762 and say "Workday" for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.

At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.

Equal Employment Opportunity (EEO):

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 categories protected by law.

California Residents

Refer to the California Consumer Privacy Act Privacy Notice (https://content.pncmc.com/live/pnc/aboutus/HR/Onboarding/PNC_CCPA_Privacy_Disclosure_Employee.pdf) to gain understanding of how PNC may use or disclose your personal information in our hiring practices.