Supervision Manager Senior PNC Wealth Management
Cleveland, TN - USA
Job Summary
Manage the team who monitors and reviews the sales practice activities of Financial Advisors on a centralized and regional level ensuring that the Firm is in compliance with meeting all regulatory initiatives and independently leads departmental and firm projects. Work closely with the Director of Supervision as well as Supervision Team Leaders Chief Operations Officer the Chief Compliance Officer and the Chief Risk Officer to assist with departmental and firm projects and closely with Operations Executive Sales Management Compliance Legal and Risk partners to assist with escalations and other urgent issues both within and outside of their normal scope of work.
- Manages team and collaborates with various business partners including Legal Risk Compliance Product etc. to resolve complex matters. Exhibits a strong conviction and a willingness to voice their opinion in order to gain effective results.
- Has knowledge across multiple products to independently lead defined departmental and firm projects to completion.
- Ability to manage risk make sound decisions by having a deep understanding of industry regulations supervisory requirements policies/procedures and financial services products.
- Inspires engages and promotes internal mobility by providing regular feedback; coaches and mentors others by applying strong interpersonal skills.
- Supports the Firms business objectives and contributes to the Firms profitability by influencing Financial Advisors (FA) business practices in ways that minimize regulatory and financial risk as well as uphold the Firms reputation.
- Uses critical thinking and decision-making skills to assist in the review of supervisory responsibilities in adherence to applicable regulatory rules and compliance policies.
- Is a Subject Matter Expert (SME) on products processes and projects.
- Initiates supervision project work and active project participation to drive efficiencies and process improvements
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 PNCs Enterprise Risk Management Framework.
PNC also has fundamental expectations of our people managers. As a manager of talent in PNC you will be expected to:
- Include Intentionally - Cultivates diverse teams and inclusive workplaces to expand thinking.
- Live the Values - Role models our values with transparency and courage.
- Enable Change - Takes action to drive change and innovation that will transform our business.
- Achieve Results - Takes personal ownership to deliver results. Empowers and trusts others in decision making.
- Develop the Best - Raises the bar with every talent decision and guides the achievement of all employees and customer.
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.
To learn more about these and other programs including benefits for full time and part-time employees visit.
If an accommodation is required to participate in the application process please contact us via email at . Please include accommodation request in the subject line title and be sure to include your name the job ID and your preferred method of contact in the body of the email. Emails not related to accommodation requests will not receive responses. Applicants may also call and say Workday for accommodation assistance. All information provided will be kept confidential and will be used only to the extent required to provide needed reasonable accommodations.
At PNC we foster an inclusive and accessible workplace. We provide reasonable accommodations to employment applicants and qualified individuals with a disability who need an accommodation to perform the essential functions of their positions.
PNC provides equal employment opportunity to qualified persons regardless of race color sex religion national origin age sexual orientation gender identity disability veteran status or other categories protected by law.
This position is subject to the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA) and for any registered role the Secure and Fair Enforcement for Mortgage Licensing Act of 2008 (SAFE Act) and/or the Financial Industry Regulatory Authority (FINRA) which prohibit the hiring of individuals with certain criminal history.
Required Experience:
Manager