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Compliance Team Lead in Columbus at Huntington

Date Posted: 10/10/2018

Job Snapshot

Job Description

The Compliance Team Lead will work primarily in the Personal Trust and Investment Management 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 businesses. The Compliance Team Lead 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 internal audits, KRIs and control tests
  • Participate in the resolution of identified risks
  • Contribute to cross-functional teams to anticipate and respond to changes in internal and external business environments
  • Review and interpret trust documents to advise on fiduciary activities of trust colleagues and to determine appropriate applicable coding
  • Research regulations to advise on application by the business unit
  • Advise Personal Trust 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 Personal Trust transactions for suspicious activity
  • Prepare and/or perform regulatory filings (13F, 13G and 13H)
  • Oversee certain team functions

Basic Qualifications:

  • Bachelor's Degree
  • At least 4 years of experience in financial services, compliance and/or a trust department
  • Proven organizational skills and ability to work successfully, independently, and proactively in a team environment
  • 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
  • Leadership abilities
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.