at Huntington National Bank in Chicago, Illinois, United States
Job Description
Description
The HSI Compliance Section Manager Sr will play a critical role in the successful execution of the firm’s compliance mission and will be dedicated to oversight of Huntington Securities, Inc. (“HSI”). HSI is engaged in Investment Banking, Public Finance and Sales and Trading.
Job Description
Primary Responsibilities
+ Ability to understand and apply regulatory requirements in the design and testing of the firm’s procedures. Communicate changes to HSI team.
+ Maintain working knowledge of compliance regulations, industry topics, and continuing education to assist in colleague development. This includes development of content for Annual Compliance Meeting and various trainings throughout the year (Firm Element, AML, etc.).
+ Review, investigate and respond to regulatory inquiries and participate in directly in regulatory exams and file required filings on behalf of HSI (Form MA, G-37, etc.). Knowledge of FINRA and MSRB Gateway a plus.
+ Perform branch and OSJ office examinations for the institutional business as directed including to ensure compliance with regulations and firm policy. Examinations will not exceed more than 20% of time.
+ Work with HR to ensure colleague onboarding is complete, include U4/U5 filings.
+ Review pitchbooks and other materials for compliance with communications with the public rules and general content standards.
+ Establish relationships with partners throughout Huntington, including Risk, Internal Audit, Control Room, and Legal.
Basic Qualifications:+ Bachelor’s degree
+ 5+ years of progressively responsible compliance/securities industry experience required.
+ Series 7 & 24 licenses or experience working for FINRA or SEC
Preferred Qualifications – In addition to the above;+ Additional FINRA licensing Series 53, Series 79. You will be encouraged to obtain additional licensing as part of individual development.
+ Previous experience as a compliance manager and/or Internal Auditor within a broker dealer or capital markets function.
LOCATION:Preference is for you to sit with the HSI team in Chicago, Cincinnati, Cleveland, Columbus, or Detroit. Will consider other locations within HSI footprint.
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
