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Compliance Specialist - Senior in Columbus at Huntington

Date Posted: 3/26/2018

Job Snapshot

Job Description

Compliance Specialist -- Senior

The Compliance Specialist - Senior will work in trust, investment management, and custody Private Client Group business units as the first line of defense on risk and compliance matters. The incumbent will ensure the development and maintenance of a strong compliance culture by monitoring adherence with business-line policies and procedures, as well as applicable laws, regulations and rules that govern the applicable business units. The Compliance Specialist - Senior will perform the following specific functions: 

  • Perform self-monitoring and testing
  • Monitor compliance reports and address key issues
  • Communicate with lines of defense regarding information related to testing, internal audits, KRIs and control tests
  • Participate in the resolution of identified risks
  • Contribute to cross-functional teams to provide information and to anticipate and respond to changes in internal and external business environments
  • Advise colleagues on adherence to policies and procedures
  • Draft and revise policies and procedures to appropriately detail business policy and implementation of such policy
  • Prepare various management reporting
  • Monitor inbound and outbound funds movement for suspicious activity reporting (SAR) to BSA/AML team
  • Review new accounts for acceptable KYC and CIP documentation
  • Review transactions for suspicious activity
  • Other duties as assigned

Basic Qualifications:

  • Bachelor's Degree
  • 3 or more years of experience in financial services, compliance, investments and/or trust
Preferred Qualifications:
  • Proven organizational skills and ability to work successfully, independently, and proactively in a team environment
  • Ability to work successfully as part of a team
  • Must have excellent written and verbal communication skills, including interpersonal and influencing skills needed to interact with individuals at various professional levels.
  • Strong organizational skills with attention to detail
  • Ability to multi-task
  • Strong analytical and problem-solving skills
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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