Retail Investment Advisor
PNC
full-time
Posted on:
Location Type: Office
Location: Philadelphia • Alabama • Ohio • United States
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Salary
💰 $80,000 - $232,050 per year
About the role
- Primary responsibility for providing legal advice regarding PNCI’s managed account programs, including development of new programs and program features
- Primary responsibility for advising PNCI on the application of Regulation Best Interest
- Assisting with the development of, and advising on required updates to Forms ADV and investment management agreements
- Interacting directly with PNCI’s senior business management and compliance and risk management personnel
- Serving as counsel to PNCI’s Investment Due Diligence committee
- Monitoring for and advising PNCI on forthcoming regulations and regulatory guidance issued by PNCI’s primary regulators
- Developing policies and practices to ensure regulatory and legal compliance
- Representing PNCI in interactions with external counsel and counsel for other parties, including fund companies and clearing brokers
- Performing work independently with minimal supervision while exercising sound, independent judgment and discretion
Requirements
- Typically seven-to-ten years of experience investment advisor and broker-dealer regulatory matters and demonstrated ability to fulfill designated responsibilities
- Under special circumstances, advanced knowledge in a highly specialized legal area may be substituted for fewer overall years of experience
- The candidate must have a deep understanding of the securities regulatory process and applicable SEC rules and prior experience with a regulator or another dual registrant is desirable
- J.D. or equivalent degree from an accredited law school
- Currently licensed to practice in the courts of one or more states
- Demonstrated good judgment, strong legal analysis, and oral and written communication skills
Benefits
- 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
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard Skills & Tools
legal adviceRegulation Best InterestForms ADVinvestment management agreementsregulatory compliancelegal analysissecurities regulatory processSEC rules
Soft Skills
good judgmentstrong legal analysisoral communicationwritten communicationindependent judgmentdiscretion
Certifications
J.D.licensed to practice law