at Huntington National Bank in Chicago, Illinois, United States
Job Description
Description
As a Compliance Section Manager Senior, you’ll be part of Huntington’s Corporate Compliance team that supports The Huntington Investment Company (HIC), a registered broker dealer, investment adviser, and insurance agency. In this position, you’ll be asked to:
+ Act as HIC’s AML Compliance Officer and Conflicts Officer;
+ Conducting Regulatory Change Analysis
+ Serve as Conflict Officer
+ maintain the Firms Policy procedure administration
+ Maintain a strong understanding of Bank Secrecy Act/Anti-Money Laundering (BSA/AML)- and OFAC-related regulations and industry best practices;
+ Provide guidance to HIC representatives about BSA/AML-, OFAC-, elder abuse- and surveillance-related issues;
+ Research, analyze and identify potentially high-risk customers and HIC representatives;
+ Recommend appropriate follow-up and account closure for customers that exceed HIC’s risk tolerance;
+ Maintain and update policies and procedures;
+ Conduct periodic testing of HIC’s controls;
+ Conduct periodic risk assessments of BSA/AML and OFAC compliance programs;
+ Conduct periodic assessments of HIC’s conflicts program;
+ Assist in the preparation and completion of various reports;
+ Develop and maintain strong, positive relationships with HIC business, risk, and supervision partners;
+ Participate in working groups, committees, and other governance-related teams;
+ Participate in HIC-related training and projects;
+ Identify areas for process improvements; and,
+ Perform other functions as requested by management.
Basic Qualifications
+ Bachelor’s degree. Four additional years of years of Compliance-, securities-, or investigation-related experience
+ 5 or more years of regulatory compliance, internal audit or risk management experience with a strong understanding of SEC, FINRA, BSA/AML, and OFAC regulations
+ Series 7 and Series 24 licenses, or the ability to obtain the license(s) within 6 months of hire
?Preferred Qualifications
+ Series 4 and 65/66 licenses
+ Basic PC skills, including Microsoft Office products (Word, Excel, and Outlook)
+ Compliance, AML, or fraud-related professional certification (i.e., CAMS, CFE, CRCM)
+ Experience in fraud, AML, elder abuse, and/or internal investigations
+ Experience with data analytics and reporting
+ Experience with Protegent, RegEd, Wealthscape, and Global Relay
+ Experience with policy and procedure administration
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)Yes
Workplace Type:
Hybrid
Huntington is an equal opportunity and affirmative action employer and is committed to providing equal employment opportunities for all regardless of race, color, religion, sex, national origin, age, disability, sexual orientation, veteran status, gender identity and expression, genetic information, or any other basis protected by local, state, or federal law.
Tobacco-Free Hiring Practice: Visit Huntington’s Career Web Site for more details.
Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position
