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Investment Advisory Surveillance Specialist in Columbus at Huntington

Date Posted: 6/13/2018

Job Snapshot

Job Description

The HFA (Huntington Financial Advisors) Investment Advisory Services Team is responsible for supporting the sales, service and surveillance of the investment advisory accounts.

The HFA Investment Advisory Surveillance Specialist will be responsible for:

  • Ongoing monitoring and surveillance of the investment advisory platform
  • Detect anomalies or exceptions to the firm's investment policies
  • Provide reporting of policy exceptions and trending to Senior Leadership, Sales Management, Financial Advisors and Compliance
  • Identify and recommend changes to investment policies and procedures to address gaps or improve adherence to the regulatory and firm requirements.
  • Review, draft, implement and maintain desktop procedures
  • Establish and maintain controls for investment advisory accounts -- including by not limited to account establishment, program and product setup, billing, house holding requirements, trading and funding
  • Provide support and service as escalation point for account servicing

Basic Qualifications:

  • Bachelor Degree
  • Series 7
  • Series 66 (63,65)
  • 5 or more years financial services industry experience

Preferred Qualifications:

  • Demonstrated ability to meet deadlines and work independently
  • Strong organizational and communication 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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