HFA Suitability Principal - Huntington National Bank
Columbus, OH
About the Job
Description
Summary:
The Huntington Financial Advisors Suitability Principal is responsible for pre and post review of financial transactions executed by Advisors, including fixed, indexed and variable annuities, marked linked certificates of deposit, mutual funds and individual securities. Escalates and remediates identified issues with Advisors and Sales Management. Reviews and accepts accounts on behalf of the firm with firm and industry rules / guidelines (FINRA, SEC, DOL, etc.) including brokerage accounts, 529 plans, direct mutual fund applications, insurance and managed accounts. Reviews and escalates emails received or generated that do not comply with HIC guidelines and/or industry rules.Duties and Responsibilities:
+ Review suitability and approve new accounts and/or products in compliance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.
+ Evaluate security trades for suitability in accordance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.
+ Escalate trades and partner with Sales Management and Regional Supervisory Officers as necessary to remediate issues.
+ Review inbound and outbound emails to ensure the content are appropriate and meet regulatory standards
Basic Qualifications:
+ High School Diploma
+ At least one year of experience in the securities/investment industry
+ Series 7
+ Additional License Requirements: Series 24, 66, and Life and Health required to be obtained within 180 days of hire
Preferred Qualifications:
+ Bachelors Degree
+ Retail brokerage and/or annuity experience strongly preferred
+ Strong interpersonal, verbal, & written communication skills
+ Good organization skills & attention to detail
+ Good research, analytical and problem solving skills
+ Computer/navigational skills (Microsoft Office)
+ Effective time management skills in order to meet service level agreements
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.
Summary:
The Huntington Financial Advisors Suitability Principal is responsible for pre and post review of financial transactions executed by Advisors, including fixed, indexed and variable annuities, marked linked certificates of deposit, mutual funds and individual securities. Escalates and remediates identified issues with Advisors and Sales Management. Reviews and accepts accounts on behalf of the firm with firm and industry rules / guidelines (FINRA, SEC, DOL, etc.) including brokerage accounts, 529 plans, direct mutual fund applications, insurance and managed accounts. Reviews and escalates emails received or generated that do not comply with HIC guidelines and/or industry rules.Duties and Responsibilities:
+ Review suitability and approve new accounts and/or products in compliance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.
+ Evaluate security trades for suitability in accordance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.
+ Escalate trades and partner with Sales Management and Regional Supervisory Officers as necessary to remediate issues.
+ Review inbound and outbound emails to ensure the content are appropriate and meet regulatory standards
Basic Qualifications:
+ High School Diploma
+ At least one year of experience in the securities/investment industry
+ Series 7
+ Additional License Requirements: Series 24, 66, and Life and Health required to be obtained within 180 days of hire
Preferred Qualifications:
+ Bachelors Degree
+ Retail brokerage and/or annuity experience strongly preferred
+ Strong interpersonal, verbal, & written communication skills
+ Good organization skills & attention to detail
+ Good research, analytical and problem solving skills
+ Computer/navigational skills (Microsoft Office)
+ Effective time management skills in order to meet service level agreements
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
