DESCRIPTION

The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance Program for Huntington’s Investment Banking Broker Dealers and Huntington’s Wealth Management Division inclusive of affiliates engaged in Insurance and Securities business. The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the 1934 Securities Exchange Act. The Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance Framework.

Duties include but are not limited to:

• Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities.
• Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs.
• Support the oversight and integration of affiliate Insurance activities into the overarching Compliance Program structure.
• Proactively build relationships with regulators and act as the liaison for all broker-dealer regulatory inquiries and examinations.
• Advise and collaborate with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance Program standards within the Enterprise Framework and stated Risk Appetite.
• Facilitate regulatory change management for covered business lines within the Enterprise Risk Management Structure.
• Facilitate the review and Drafting of Policies and Procedures to align with regulatory requirements and scope of business activities.
• Review of marketing materials and client communications in alignment with regulatory expectations and policy requirements.
• Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal.

BASIC QUALIFICATIONS:

• Bachelor’s degree
• Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization.
• 10+ years of progressively responsible compliance/securities industry experience required.
• Series 7 and 24 with the ability to obtain within 6 months of hire.

PREFERRED QUALIFICATIONS:

• Experience or exposure to Swap Dealer Compliance programs.
• Ability to work in a fast-paced environment with professionalism, courtesy and tact.
• Excellent interpersonal, oral and written communication skills.
• Excellent critical thinking and problem-solving skills
  

  LI-MM1

LI-Onsite

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

• Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities.
• Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs.
• Support the oversight and integration of affiliate Insurance activities into the overarching Compliance Program structure.
• Proactively build relationships with regulators and act as the liaison for all broker-dealer regulatory inquiries and examinations.
• Advise and collaborate with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance Program standards within the Enterprise Framework and stated Risk Appetite.
• Facilitate regulatory change management for covered business lines within the Enterprise Risk Management Structure.
• Facilitate the review and Drafting of Policies and Procedures to align with regulatory requirements and scope of business activities.
• Review of marketing materials and client communications in alignment with regulatory expectations and policy requirements.
• Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal