About the Role
Title: Regional Supervision Risk Officer (RSO) – PNC Investments
Location: Cleveland United States
Job ID: R172987
Job Description:
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.
As a Regional Supervision Risk Officer within PNC Investments, you may be based in a remote location. This is a remote position. Work may be performed from a quiet, confidential space in a home location, approved by PNC. This position may not be available in all geographic locations.
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.
Qualifications
Successful candidates must demonstrate appropriate knowledge, skills, and abilities for a role. Listed below are skills, competencies, work experience, education, and required certifications/licensures needed to be successful in this position.
Preferred Skills
Compliance Reporting, Customer Risk, Decision Making, Regulatory Requirements, Risk Assessments, Risk Control, Strategic Objectives
Competencies
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
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
Certifications
No Required Certification(s)