Counsel – Broker-Dealer

PNC

Counsel providing legal advice on broker-dealer regulations for PNC Wealth Management. Collaborate with business management and ensure compliance with SEC and FINRA regulations.

Posted 6/3/2026full-timePhiladelphia • Alabama, Ohio, Pennsylvania, Washington • 🇺🇸 United StatesMid-LevelSenior💰 $80,000 - $232,050 per yearWebsite

About the role

Key responsibilities & impact

Primary responsibility for providing legal advice regarding PNCWM’s broker-dealer, including new product and service offerings
Interacting directly with PNCWM’s senior business management and compliance and risk management personnel
Monitoring for and advising PNCWM on forthcoming regulations and regulatory guidance issued by PNCWM’s primary regulators
Developing policies and practices to ensure regulatory and legal compliance
Representing PNCWM 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

What you’ll need

Typically at least five years of experience in investment adviser 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 an 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

Comp & perks

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

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

legal adviceregulatory compliancepolicy developmentlegal analysissecurities regulatory processSEC rulesbroker-dealer regulatory mattersinvestment adviser regulationsindependent judgmentdiscretion

Soft Skills

good judgmentoral communicationwritten communicationstrong legal analysisinterpersonal skillsindependencediscretion

Certifications

J.D.licensed to practice law