PNC · 21 hours ago

FINRA Supervisory Principal - PNC Investments

Home Location-OH (OHH01)

Full-time

Remote

Entry Level

1+ years exp

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Responsibilities

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.

Qualification

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FINRA Series 7FINRA Series 66FINRA Series 24Compliance ReportingCustomer RiskRegulatory RequirementsRisk AssessmentsRisk ControlFinancial AnalysisFinancial Risk ManagementInternal ControlsInterpersonal RelationshipsOrganizational SavvyProcess ManagementRegulatory Environment - Financial Services

Required

FINRA Series 7/66 (63/65)

FINRA Series 24 (9/10)

Bachelors

Roles at this level typically require a university / college degree with < 1 year of professional experience and/or successful completion of a formal development program. In lieu of a degree, a comparable combination of education, job specific certification(s), and experience (including military service) may be considered.