Regional Supervision Risk Officer

5 days ago

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PNC

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Checking • Savings • Credit Cards • Auto Loans • Mortgage

10,000+

Description

• Reports into PNC Investments as a Regional Supervision Risk Officer • Works with Compliance, Central Review Desk and Regional Sales Managers to identify suspicious patterns • Monitors advisors for adherence to company policies • Coaches and trains financial advisors on proper sales practices • Communicates potential audit issues and execution plans • Participates in regulatory and audit meetings

Requirements

• FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10) • Change Management • Conflict Management • Crisis Management • Emerging Risks • Influencing Change • Operations Management • Risk Management Programs • Strategic Planning • Accuracy and Attention to Detail • Decision Making and Critical Thinking • Financial Analysis • Financial Risk Management • Internal Controls • Interpersonal Relationships • Organizational Savvy and Politics • Planning and Organizing • Process Management • Regulatory Environment - Financial Services

Benefits

• 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 • 401(k) with PNC match • pension and stock purchase plans • dependent care reimbursement account • back-up child/elder care • adoption, surrogacy, and doula reimbursement • educational assistance, including select programs fully paid • a robust wellness program with financial incentives • maternity and/or parental leave • up to 11 paid holidays each year • 8 occasional absence days each year, unless otherwise required by law • between 15 to 25 vacation days each year, depending on career level and years of service