FINRA Supervisory Specialist
Financial Services & BankingPosted 23 Aug 2026
Advertised as “FINRA Supervisory Specialist - PNC Wealth Management”
Posted 23 Aug 2026
Advertised as “FINRA Supervisory Specialist - PNC Wealth Management”
The original posting with the fluff stripped out
| Base salary | US$45,000 – US$142,500 / yr |
|---|
No unique specialisation
Study levelBachelor's
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. As a FINRA Supervisory Specialist within PNC's Wealth Management organization, you will be based within the PNC footprint at a major hub location.
PNC is an in-office company that fosters a supportive culture where employees can thrive and achieve balance. We encourage candidates to connect with their recruiter and hiring manager to understand workplace expectations and ensure the role aligns with their goals.
PNC will not provide sponsorship for employment visas or participate in STEM OPT for this position.
Responsible for the supervision and trade review of Financial Advisors (FA) and registered branches in assigned regions to ensure compliance with securities and insurance industry rules and reg and firm policy. Review surveillance alerts and reports assigned to them on a regional or centralized level to identify patterns, trends and/or concerns in regards to FAs' sales practice activity. Review trades and/or new accounts; diagnose, raise and process escalations, as well as other items requiring principal review and approval at the regional level. Conduct proactive training, coaching and mentoring of registered reps (RR), complete trend analysis, and engage in complaint resolution and branch/hub audits. Work closely with Operations, Regional Supervision, Financial Advisors, Sales Management and support staff, Compliance, Legal and Risk partners to assist with escalations, legal matters, complaints, new account approvals and daily trade review.
PNC Employees take pride in our reputation and to continue building upon that we expect our employees to be:
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.
Accuracy and Attention to Detail, Data Gathering and Reporting, Decision Making and Critical Thinking, Effective Communications, Flexibility and Adaptability, Industry Knowledge, Managing Multiple Priorities, Products and Services, Regulatory Environment - Financial Services, Risk Management, Understanding Customer Needs
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
No Required Certification(s)
Series 7, 24 (or 9/10), 66 (or 63 and 65), (4 and 53 preferred if only 24)
Base Salary: $45,000.00 – $142,350.00
Salaries may vary based on geographic location, market data and on individual skills, experience, and education. This role is incentive eligible with the payment based upon company, business and/or individual performance.
Generally, this opening is expected to be posted for two business days from 05/15/2026, although it may be longer with business discretion.
PNC offers a comprehensive range of benefits to help meet your needs now and in the future. Depending on your eligibility, options for full-time employees include: medical/prescription drug coverage (with a Health Savings Account feature), dental and vision options; employee and spouse/child life insurance; short and long-term disability protection; 401(k) with PNC match, pension and stock purchase plans; dependent care reimbursement account; back-up child/elder care; adoption, surrogacy, and doula reimbursement; educational assistance, including select programs fully paid; a robust wellness program with financial incentives.
In addition, PNC generally provides the following paid time off, depending on your eligibility: maternity and/or parental leave; up to 11 paid holidays each year; 9 occasional absence days each year, unless otherwise required by law; between 15 to 25 vacation days each year, depending on career level; and years of service.
To learn more about these and other programs, including benefits for full time and part-time employees, visit pncthrive.com.
If an accommodation is required to participate in the application process, please contact us via email at AccommodationRequest@pnc.com. 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 877-968-7762 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.
Refer to the California Consumer Privacy Act Privacy Notice to gain understanding of how PNC may use or disclose your personal information in our hiring practices.