PNC
Plymouth, MI
Job Profile 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 FINRA Supervisory Specialist Senior reports into PNC Wealth Management, 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. This role also monitors advisors for adherence to company policies and acts as the regional escalation point in the review of new business. In addition, the role proactively coaches and trains financial advisors on proper sales practices and disseminate information on changes in firm policy, procedure and the regulatory environment....
