PNC · 5 hours ago

Regional Supervision Risk Officer (RSO) - PNC Investments

Home Location-MI (MIHM1)

Full-time

Remote

Entry, Mid Level

2+ 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 ReportingRisk AssessmentsRegulatory RequirementsFinancial Risk ManagementRisk ControlCustomer RiskInterpersonal RelationshipsOrganizational SavvyProcess ManagementRegulatory Environment - Financial Services

Required

Licensing requirements: FINRA series 7, 66 (or equivalent 63/65), 24 (or equivalent 9/10).

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.

Bachelors

FINRA Series 7,66 (or 63,65) and Series 24 (or 9,10) required.