Compliance Specialist Senior- Branch Examiner - Huntington National Bank
Saint Paul, MN
About the Job
Description
Compliance Specialist Sr. – Branch Examiner
Must be able to travel (up to 50%) outside of the home office location.
The HFA Compliance Specialist, Sr. will be part of the 2nd Line of Defense Compliance team, responsible for providing end-to-end compliance support to the line of business (“LOB”). Branch examiners will be responsible for reviewing the sales activities of the Registered Representatives as well as the books and record requirements of each branch to ensure adherence with Firm policy and regulatory rules. They will support all components of the compliance framework by providing subject matter expertise to enable the LOB to manage their compliance risk effectively.
Core Responsibilities
+ Independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with regulatory rules and Firm policy.
+ Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses.
+ Conduct virtual and/or in-person examinations of branch offices and OSJs.
+ Effectively communicate examination results to management, the registered representative and/or branch staff.
+ Educate Financial Advisors and support staff on various industry rules, regulations, and Firm policies during the exam.
+ Prepare audit letter based on deficiencies identified during branch examination and to ensure issues are resolved in a timely manner.
Basic Qualifications:
+ Bachelor's degree (B.A./B.S.) or equivalent work experience in the financial industry.
+ 3 or more years of Securities or Compliance experience with a basic understanding of SEC and FINRA regulations. Branch examination is a plus.
+ FINRA Series 7 is required.
+ FINRA Series 24 or the ability to obtain the license within 120 days of hire.
Preferred Qualifications:
+ Knowledge of concepts, products, practices, and compliance functions for the financial services industry preferred.
+ Series 63, 65 or 66, 53, 4; Life and Disability licensing is desirable.
+ Proficient in Microsoft applications (Word, Excel, PowerPoint). Ability to learn proprietary software.
+ Strong written and verbal communication skills, excellent organizational, planning, and time management skills.
#LI-REMOTE
#LI-MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Remote
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
This employer will not sponsor applicants for the following work visas: F-1 student, H-1B worker, O-1 worker, TN worker, E-3 worker. Applicants must be currently authorized to work in the United States on a full-time basis.
Compliance Specialist Sr. – Branch Examiner
Must be able to travel (up to 50%) outside of the home office location.
The HFA Compliance Specialist, Sr. will be part of the 2nd Line of Defense Compliance team, responsible for providing end-to-end compliance support to the line of business (“LOB”). Branch examiners will be responsible for reviewing the sales activities of the Registered Representatives as well as the books and record requirements of each branch to ensure adherence with Firm policy and regulatory rules. They will support all components of the compliance framework by providing subject matter expertise to enable the LOB to manage their compliance risk effectively.
Core Responsibilities
+ Independently performing all functions of branch examination, including thorough evaluation of branch activities to assess/monitor compliance with regulatory rules and Firm policy.
+ Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses.
+ Conduct virtual and/or in-person examinations of branch offices and OSJs.
+ Effectively communicate examination results to management, the registered representative and/or branch staff.
+ Educate Financial Advisors and support staff on various industry rules, regulations, and Firm policies during the exam.
+ Prepare audit letter based on deficiencies identified during branch examination and to ensure issues are resolved in a timely manner.
Basic Qualifications:
+ Bachelor's degree (B.A./B.S.) or equivalent work experience in the financial industry.
+ 3 or more years of Securities or Compliance experience with a basic understanding of SEC and FINRA regulations. Branch examination is a plus.
+ FINRA Series 7 is required.
+ FINRA Series 24 or the ability to obtain the license within 120 days of hire.
Preferred Qualifications:
+ Knowledge of concepts, products, practices, and compliance functions for the financial services industry preferred.
+ Series 63, 65 or 66, 53, 4; Life and Disability licensing is desirable.
+ Proficient in Microsoft applications (Word, Excel, PowerPoint). Ability to learn proprietary software.
+ Strong written and verbal communication skills, excellent organizational, planning, and time management skills.
#LI-REMOTE
#LI-MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Remote
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
This employer will not sponsor applicants for the following work visas: F-1 student, H-1B worker, O-1 worker, TN worker, E-3 worker. Applicants must be currently authorized to work in the United States on a full-time basis.
Source : Huntington National Bank
