Compliance Specialist-Senior - Broker Dealer

The HFA Compliance Specialist, Sr. will be part of the 2nd Line of Defense Compliance team, responsible for providing end-to-end compliance support to the line of business (“LOB”). They will support all components of the compliance framework by providing subject matter expertise to enable the LOB to manage their compliance risk effectively.

This role serves as a technical expert in the area of complaints. Support and assist with complaint intake and FINRA filings. May be assigned certain complaint investigations. Support other investigators with investigation and closing tasks, and as directed by their section manager, provide reporting, or participate in other projects.

The HFA Compliance Specialist, Sr. will be individually responsible for duties associated with a specific function, program, or discipline, including:

• Reviewing and investigating customer complaints.

• Identifying and escalating potential complaint trends and patterns, with an eye toward looking out for and mitigating risks to the firm as well as our clients.
• Assisting with regular reporting and data analysis on customer complaints.
• Providing recommendations to management on courses of action for complaint resolution.
• Helping the firm’s Legal Department with the preparation of documents for pending arbitrations and/or litigation involving customer complaints.
• Supporting the firm’s review of, and responses to, regulatory inquiries.
• Providing ongoing support to other core compliance functions, which may include testing, surveillance, AML, branch exams, reviewing retail communications, and registration.

Basic Qualifications:

• Bachelor's degree or 4 additional years of experience in lieu of.
• 3 or more years of compliance and/or operations experience with a Broker Dealer and/or Registered Investment Adviser
• Series 7 and 24 registrations, or the ability to obtain both, starting with the Series 7 registration within 120 days of starting in the position and the Series 24 within 120 days of obtaining the Series 7.

Preferred Qualifications:

• Effective communication skills, both written and oral.
• Strong analytical skills and a desire to determine the root cause of an issue.  
• Ability to learn and become adept in using proprietary software, in addition to Microsoft Office software.

• Understanding of reporting requirements for FINRA and other regulatory agencies
• Proficiency in Tableau and strength in Excel
• Ability to understand and effectively communicate complex legal and regulatory issues, as well as FINRA rules and regulations
• Knowledge of concepts, products, practices, and compliance techniques for the financial services industry
• Series 63, 65 or 66, 53, or 4 registrations; Life and Disability insurance licensing

Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)

Workplace Type:

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.

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Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position