Finra Jobs in Raleigh, NC (NOW HIRING)

PNC seeks a FINRA Supervisory Specialist within its Wealth Management organization. The role involves supervising and reviewing trade activity and ensuring compliance with securities and insurance industry rules and firm policy across appointed regions.

Key responsibilities include:

• Supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions.
• Review of surveillance alerts, reports, and audit findings to identify patterns, trends, and concerns in FA sales practice activity.
• Evaluation of trades and new accounts, diagnosing and processing escalations, and coordination of principal review and approval at the regional level.
• Proactive training, coaching, and mentoring of registered reps (RR); completion of trend analysis; engagement in complaint resolution and branch/hub audits.
• Collaboration with Operations, Regional Supervision, Sales Management, Compliance, Legal, and Risk teams to assist with escalations, legal matters, complaints, new account approvals, and daily trade review.
• Partnering with Legal, Risk, Compliance, Product, and external stakeholders to resolve complex regulatory matters.
• Monitoring advisor and client activity – including trade review, approval patterns, complaint resolution, communications, and new account approvals – to ensure compliance and mitigate risk.
• Providing coaching and guidance to FAs on policies, procedures, industry regulations, financial service products, and investment practices to promote risk awareness and a compliant environment.
• Employing critical thinking and decision‑making skills to steward supervisory responsibilities while adhering to regulatory rules and internal compliance policies.
• Initiating proactive client contact when necessary to determine suitability of escalated business and manage risk.

Competencies required include:

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

Experience and Education:

• University or college degree (bachelor’s). Minimum of 2+ years of relevant professional experience. Alternative qualifications acceptable if comparable education, certification, and military service experience is provided.

Licenses / Certifications:

• Series 7, 24 (or 9/10), 66 (or 63 and 65); Series 4 and 53 preferred if only Series 24 is held.

Pay Transparency:

• Base Salary: $45,000 – $142,350 (variation by location, market data, and individual qualifications).
• Incentive Eligible (performance‑based).

• Medical/Prescription Drug Coverage with Health Savings Account option
• Dental and Vision Coverage
• 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 (select programs fully paid)
• Robust Wellness Program with financial incentives
• Paid Time Off: maternity/parental leave; up to 11 paid holidays; 9 occasional absence days; 15–25 vacation days (varies by career level and service).

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. This position is subject to Section 19 of the Federal Deposit Insurance Act and the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA) requirements prohibiting the hiring of individuals with certain criminal histories.

PNC offers appropriate accommodations to applicants and employees with disabilities. Requests can be made through the designated internal process. All information will be kept confidential and used only to provide needed reasonable accommodations.