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: Compliance - Customer Complaints and Regulatory Response Specialist Senior in Columbus at Huntington

Date Posted: 4/30/2018

Job Snapshot

Job Description

The Compliance Specialist Senior will play a critical role in the successful execution of the firm's compliance mission. The incumbent will ensure the development and maintenance of a strong compliance culture by identifying measures and monitoring adherence with applicable laws, regulations and rules that govern our business. The Compliance Specialist Senior will work closely with business, legal, risk, and audit functions to provide expertise on regulatory compliance matters, assess and measure compliance and related risk and, monitor and test the adequacy of the firm's compliance control environment.
You will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner. Further, the incumbent will conduct branch and OSJ examination of the company.
  • Review, investigate and respond to customer complaints.
  • Review, investigate and respond to regulatory inquiries.
  • Ensure that required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.
  • Conduct periodic branch and OSJ Exams
  • Assist the Firm's Legal Department with the preparation of discovery documents related to pending arbitrations and/or litigations involving customer complaints.
  • May be asked to provide guidance and training to less experienced compliance staff.
  • Conduct interviews of Financial Advisors or other firm employees in connection with the investigation of customer complaints and/or regulatory inquiries.
  • Provide recommendations to management on available courses of action with respect to customer complaints.
  • Identify sales practices concerns and refer matters to the firm's Chief Compliance Officer for possible corrective and/or disciplinary action.

Basic Qualifications:
  • Bachelor's degree. 4 years of segment-specific or risk experience may be considered in lieu of a Bachelor's degree.
  • 3 or more years of compliance experience in the securities industry that includes compliance customer service.

Preferred Qualifications:
  • Series 7, 63, 65 or 66, 24 registration is required or must be obtained within 120 days of start date.
  • Experience in handling and resolving complaints and difficult conversations and dealing with regulators.
  • Excellent writing skills.
  • Series 53, 4; Life and Disability licensing is desirable.
  • Knowledge of concepts, products, practices and compliance techniques for the financial services industry.
  • Ability to understand complex legal and regulatory issues, FINRA rules and regulations.
  • Understanding of methodologies for researching and analyzing compliance issues.
  • Understanding of reporting requirements of various regulatory agencies.
  • Advanced MS office skills including Word, Excel and PowerPoint. Ability to learn proprietary software.
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.