Control Room Compliance Specialist - Senior - Huntington National Bank
Cleveland, OH
About the Job
Description
Control Room Compliance Specialist - Senior
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington’s Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management’s attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
+ Bachelors Degree
+ 3 or more years’ experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
+ Strong technical background with the ability to manage cloud based applications used to support Control Room functions
+ Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
+ General knowledge of Control Room purpose and functions.
+ FINRA series 7 and 24 licensure is strongly encouraged.
+ Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
+ Strong problem-solving skills.
+ Self-starter with the ability to meet or exceed deadline expectations.
+ Excellent organizational, written, verbal, and presentation skills.
+ Ability to influence and work effectively and cross-functionally within Huntington's business segments.
+ Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
+ Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
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.
Control Room Compliance Specialist - Senior
This candidate will report directly to the Control Room Manager within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room. The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington’s Information Barriers; and overseeing conflicts of interest issues. The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified. Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management’s attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance). This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.
Basic Qualifications:
+ Bachelors Degree
+ 3 or more years’ experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law
Preferred Qualifications:
+ Strong technical background with the ability to manage cloud based applications used to support Control Room functions
+ Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
+ General knowledge of Control Room purpose and functions.
+ FINRA series 7 and 24 licensure is strongly encouraged.
+ Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
+ Strong problem-solving skills.
+ Self-starter with the ability to meet or exceed deadline expectations.
+ Excellent organizational, written, verbal, and presentation skills.
+ Ability to influence and work effectively and cross-functionally within Huntington's business segments.
+ Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
+ Ability to interpret and communicate compliance guidance internally.
#LI-OFFICE
#LI- MK2
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Workplace Type:
Office
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
