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Compliance Specialist Senior
Huntington Bancshares
Columbus, OH, United States
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Description
This Compliance Specialist Senior position will be responsible for reviewing and responding to any customer complaints and/or regulatory inquiries assigned to them by management while also ensuring that any required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner. Further, the incumbent will conduct branch and OSJ examination of the company.
• Review, investigate and respond to customer complaints.
• Review, investigate and respond to regulatory inquiries.
• Ensure that required regulatory filings are prepared and transmitted to the firm's Registration Department for filing with FINRA in a timely manner.
• Conduct periodic branch and OSJ Exams
• Assist the Firm's Legal Department with the preparation of discovery documents related to pending arbitrations and/or litigations involving customer complaints.
• May be asked to provide guidance and training to less experienced compliance staff.
• Conduct interviews of Financial Advisors or other firm employees in connection with the investigation of customer complaints and/or regulatory inquiries.
• Provide recommendations to management on available courses of action with respect to customer complaints.
• Identify sales practices concerns and refer matters to the firm's Chief Compliance Officer for possible corrective and/or disciplinary action.
Basic Qualifications:
• Bachelor's degree. 4 years of segment-specific or risk experience may be considered in lieu of a Bachelor's degree.
• 3 + years of compliance experience in the securities industry that includes compliance customer service.
Preferred Qualifications:
• Series 7, 63, 65 or 66, 24 registration is required or must be obtained within 120 days of start date.
• Experience in handling and resolving complaints and difficult conversations and dealing with regulators.
• Excellent writing skills.
• Series 53, 4; Life and Disability licensing is desirable.
• Knowledge of concepts, products, practices and compliance techniques for the financial services industry.
• Ability to understand complex legal and regulatory issues, FINRA rules and regulations.
• Understanding of methodologies for researching and analyzing compliance issues.
• Understanding of reporting requirements of various regulatory agencies.
• Advanced MS office skills including Word, Excel and PowerPoint. Ability to learn proprietary software.