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Control Room Compliance Specialist - Senior in Columbus at Huntington

Date Posted: 1/31/2018

Job Snapshot

Job Description

Control Room Compliance Specialist, Senior


This candidate will report directly to the Chief Conflicts Officer within Corporate Compliance. The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room.



The Control Room is responsible for:




• Controlling the flow of Material Non-Public Information (MNPI) within Huntington;
• Providing advice on the handling of MNPI;
• Monitoring and surveillance for misuse of MNPI;
• Maintaining Huntington's Information Barriers;
• Overseeing conflicts of interests issues (including any DOL Fiduciary Rule activities).



The candidate will support the Chief Conflicts Officer in providing oversight functions through monitoring and testing protocols. You will:




• Oversee adherence to informational barriers to protect nonpublic material information;
• Review personal e-mail and trade activities of designated access persons
• Maintain watch and restricted lists arising from underwriting activities.
• Provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified.
• Assist in the documentation of transactional flowcharts for underwriting activities
• Draft and amend specific policies and procedures
• Develop and deliver training programs
• On a day-to-day basis, monitor and report onemployee trading activities, and the escalation of issues requiring management's attention.


Basic Qualifications:


• 3 or more years' experience in a compliance or investment supervisory function that may include one or more of the following: maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law.


• Bachelor's degree. Four additional years of segment-specific or risk experience may be considered in lieu of a Bachelor's Degree.



Preferred Qualifications:


• FINRA series 7 and 24 licenses are strongly encouraged.
• Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
• Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
• General knowledge of Control Room purpose and functions.
• Strong problem-solving skills.
• Self-starter with the ability to meet or exceed deadline expectations.
• Excellent organizational, written, verbal, and presentation skills.
• Ability to influence and work effectively and cross-functionally within Huntington's business segments.
• Ability to prioritize, multi-task, and maintain flexibility in fast-paced, changing regulatory environment.
• Ability to interpret and communicate compliance guidance internally.

EEO/AA Employer/Minority/Female/Disability/Veteran/Sexual Orientation/Gender Identity

Tobacco-Free Hiring Practice: To demonstrate our commitment to health and wellness, Huntington will not hire any candidate who uses tobacco or any nicotine product including, but not limited to, cigarettes, cigars, pipes, smokeless tobacco, chewing tobacco, snuff or snus, nicotine gum, the nicotine patch or any other kind of nicotine replacement product (where permitted by applicable state law). Candidates applying for positions in those states will be notified of this practice during the recruitment process and, if offered a position, will be screened for cotinine (to check for use of tobacco and/or nicotine products and/or nicotine replacement therapy products) before they begin employment. If the position to which you're applying is covered by this practice, the job application will provide greater detail as to what constitutes tobacco use.

Huntington does not accept solicitation from Third Party Recruiters for any position.
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