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Broker Dealer Compliance Team Lead in Columbus at Huntington

Date Posted: 7/3/2018

Job Snapshot

Job Description

 Broker-Dealer Compliance Team Lead

The Compliance Team Lead will play a critical role in the successful execution of the firm's compliance mission specific to several critical compliance functions that include Policy Procedure Administration and Regulatory Inquiries. The lead will develop, maintain and administer all aspects of the company's Written Supervisory Procedure which shall be designed to ensure compliance with applicable federal and state laws and regulations.

  • Recommend, develop, and implement changes to existing and proposed procedures, policies, and programs, oversee revision, reparation and dissemination of new and updated compliance standards and procedures.
  • Complete or assist the firm's CCO in coordinating regulatory matters, including examinations, inquiries and investigations on regulatory exams and regulatory inquiries.
  • Keep abreast of regulatory and legal developments governing regulatory compliance.
  • Provide advice, guidance and insight to management and staff regarding new/emerging compliance issues.
  • Provide assistance to management and staff in the formulation of forms and disclosure documents for compliance with all policies and procedures.
  • Coordinate outreach efforts relative to Compliance procedures, regulatory, and technical/procedural updates.
  • Advise business units on the development of action plans to implement new or changed regulatory requirements. Action plans may include the development of, or changes to, existing training materials, policies, procedures, system and other controls, monitoring/testing processes, and reporting.
  • Liaise with the Customer Complaint Unit, Testing Unit and relevant Internal Audit, and with other control functions.
  • Review business units' desktop procedures to ensure compliance and adherence to firm and industry rules and regulations.
  • Work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters.

Basic Qualifications:

  • Bachelor's degree.
  • 5 or more years of compliance experience with a Broker Dealer/Registered Investment Adviser that includes handling regulatory inquiries and policy/procedure administration.
  • Active Series 7, Series 24 and Series 63.

Preferred Qualifications:

  • Strong knowledge of SEC and FINRA Rules and Regulations.
  • Law Degree (JD) -- Preferred
  • Strong analytical and critical thinking skills, as well as interpersonal and organizational skills.
  • Ability to work with little or no supervision while performing duties.
  • Solid organizational skills with a proven ability to multi-task, meet deadlines, handle multiple projects/priorities. Ability to work well independently as well as on a team.
  • Ability to handle and maintain confidential matters and information.
  • Excellent written and verbal communication skills.
  • Ability to compile, analyze, and create reporting of data.
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.
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