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Investment Compliance Support Specialist in Columbus at Huntington

Date Posted: 9/17/2018

Job Snapshot

Job Description

Compliance Specialist - Broker Dealer Pre-Employment Background Review

In this critical position, you will be responsible for the coordination and preparation of document packages for FINRA regulatory submissions. The incumbent will obtain all necessary and required information, check the documents for accuracy, completeness and forward completed documents to the Licensing and Registration Specialists for submission to the regulator. In addition, you will be required to follow up with the Firm's registered representatives to ensure all documents are produced in a timely manner.

  • Complete daily reconciliation of employees' background information, conduct necessary research and make required changes.
  • Answer registered representative questions via telephone or email as required.
  • Take or make phone calls and collect information from registered representatives
  • Process research/problem inquiries and accurately relay the information to Licensing and Registration Specialist for processing.
  • Perform tracking and daily update of all work spreadsheets.
  • Process status changes and create physical files.
  • Responsible for all scanning processes.

Basic Qualifications:

  • High school diploma.
  • 1 or more years of compliance, risk, audit or investment support/servicing/administrative experience in an investment broker/dealer or investment advisory focused company.

Preferred Qualifications:

  • Series 7, 63, and 24 preferred.
  • Ability to communicate with co-workers, representatives, and business contacts in a courteous and professional manner in person, through written correspondence and on the phone.
  • Ability to organize, prioritize and follow-up with firm's employees in a timely manner.
  • Ability to maintain confidentiality.
  • Ability to organize, prioritize, and handle multiple tasks with efficiency and accuracy.
  • Ability to place close attention to detail, and meet deadlines while working under pressure.
  • Excellent verbal and written communication skills.
  • Skill in utilizing information in a database.
  • Ability to work autonomously and meet deadlines.
  • Ability to be a collaborative team member.
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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