FINRA Supervisory Principal – PNC Investments
| Company | PNC Financial Services |
|---|---|
| Location | Pittsburgh, PA, USA |
| Salary | $Not Provided – $Not Provided |
| Type | Full-Time |
| Degrees | Bachelor’s |
| Experience Level | Entry Level/New Grad, Junior |
Requirements
- FINRA Series 7/66 (63/65) required
- FINRA Series 24 (9/10 equivalent) required
- Bachelors degree
- Less than 1 year of professional experience or a comparable combination of education, job specific certification(s), and experience
- FINRA Series 4 and 53 required for trade review
- State insurance license preferred
Responsibilities
- Partner with regulatory risk manager to execute regulatory risk initiatives
- Ensure appropriate documentation is completed
- Identify potential audit issues and MRAs
- Communicate potential issues and execution plans to lines of business
- Participate in regulatory and audit meetings
- Interact with lines of business and external/internal partners to monitor execution of regulations
Preferred Qualifications
- Compliance Reporting
- Customer Risk
- Decision Making
- Regulatory Requirements
- Risk Assessments
- Risk Control
- Strategic Objectives