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AML Compliance Officer Broker/Dealer in Columbus at Huntington

Date Posted: 10/18/2018

Job Snapshot

Job Description

This high profile position is the designated AML Compliance Officer (AML CO) for the Huntington Investment Company, a registered broker/dealer (B/D), which includes both Retail and Institutional business units. The AML CO will have responsibility for the AML and OFAC Program at the B/D and will work closely with the business units and the enterprise AML team. This position will also be responsible for reviewing and coordinating the investigation and disposition of investment-related potential elder abuse and financial exploitation cases.

Responsibilities Include:

  • Obtain B/D senior management approval of the B/D AML program on an annual basis and whenever a material change is made to the program;
  • Provide periodic reporting of key AML/BSA- and OFAC-related items to B/D senior management;
  • Participate in enterprise AML team committees, subcommittees, working groups and project teams;
  • Initiate and coordinate the annual testing of the B/D's AML program;
  • Respond to internal and external risk assessment questions about the B/D's AML program;
  • Review and approve B/D AML/BSA- and OFAC-related policy and procedure changes;
  • Maintain proper oversight of the testing of the B/D's AML/BSA- and OFAC-related processes;
  • Test key processes by the enterprise AML team on behalf of the B/D, such as 314(A) and 314(B) information sharing requests, SAR/no SAR decisions, SAR filings, high risk customer due diligence reviews and OFAC scanning;
  • Conduct periodic due diligence reviews of certain B/D-designated high risk customers; Review and disposition daily and monthly transaction monitoring;
  • Review and disposition line of business-initiated potentially suspicious activity referrals;
  • Develop and deliver annual AML training specific to the B/D;
  • Develop and deliver additional, targeted AML training to B/D representatives as needed;
  • Provide advice and guidance to the applicable business units on regulatory and internal requirements;
  • Provide advice and guidance to the enterprise AML team about B/D-related requirements, trends and patterns;
  • Stay abreast of industry trends related to AML and OFAC and any related agency guidance;
  • Build and maintain positive and professional relationships with business units and support departments; and,
  • Review investment-related potential elder abuse and financial exploitation situations and coordinate the investigation and disposition of the situations with the enterprise Corporate Security Team.

Basic Qualifications:

  • Bachelor's Degree.
  • 5 or more years of BSA/AML experience at a financial institution, regulatory agency or law enforcement agency.

Preferred Qualifications:

  • FINRA Series 7 and 24 or ability to obtain after hire within a time designated by management;
  • Ability to work in a fast paced environment with professionalism, courtesy and tact;
  • Excellent interpersonal, verbal and written communication skills;
  • Excellent critical thinking and problem solving skills;
  • Self-motivated;
  • Related professional certifications such as CAMS or CFE are preferred.
EEO/AA Employer/Minority/Female/Disability/Veteran/Sexual Orientation/Gender Identity Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Huntington does not accept solicitation from Third Party Recruiters for any position.