Senior Compliance Specialist - Branch Examiner

September 16

Apply Now

Receive Emails with Similar Jobs

Huntington National Bank

WebsiteLinkedInAll Job Openings

banking • financial services • brokerage • insurance • investing

10,000+

Description

• Must be able to travel (up to 50%) outside of the home office location. • Responsible for providing end-to-end compliance support to the line of business (“LOB”). • Branch examiners will review the sales activities of the Registered Representatives and the books and record requirements of each branch. • Support all components of the compliance framework by providing subject matter expertise. • Independently perform all functions of branch examination, including thorough evaluation of branch activities. • Accountable for planning and preparation of pre-audit material, scheduling of exams, travel arrangements, and managing associated expenses. • Conduct virtual and/or in-person examinations of branch offices and OSJs. • Communicate examination results effectively to management and staff. • Educate Financial Advisors and support staff on various industry rules, regulations, and Firm policies during the exam. • Prepare audit letter based on deficiencies identified during branch examination.

Requirements

• Bachelor's degree (B.A./B.S.) or equivalent work experience in the financial industry. • 3 or more years of Securities or Compliance experience with a basic understanding of SEC and FINRA regulations. • Branch examination is a plus. • FINRA Series 7 is required. • FINRA Series 24 or the ability to obtain the license within 120 days of hire. • Knowledge of concepts, products, practices, and compliance functions for the financial services industry preferred. • Series 63, 65 or 66, 53, 4; Life and Disability licensing is desirable. • Proficient in Microsoft applications (Word, Excel, PowerPoint). • Ability to learn proprietary software. • Strong written and verbal communication skills, excellent organizational, planning, and time management skills.