Control Room Compliance Specialist – Senior

Description

Control Room Compliance Specialist - Senior

This candidate will report directly to the Control Room Manager within Corporate Compliance.  The candidate will have primary responsibilities related to assisting in the ongoing support of a centralized Control Room.  The Control Room is responsible for controlling the flow of Material Non-Public Information (MNPI) within Huntington; providing advice on the handling of MNPI; monitoring and surveillance for misuse of MNPI; maintaining Huntington’s Information Barriers; and overseeing conflicts of interest issues.  The candidate will assist in providing oversight functions through monitoring and testing protocols and will specifically oversee adherence to information barriers to protect material nonpublic information, review personal trade activities of designated access persons, and maintain watch and restricted lists arising from underwriting activities. Additionally, the candidate will provide support in the identification, escalation and resolution of other identified conflicts of interest as they become identified.  Under the direction of the Control Room Manager, the compliance team lead is responsible for assisting in the documentation of transactional flowcharts for underwriting activities, drafting and amending specific policies and procedures, developing and delivering training programs, day-to-day monitoring and reporting of employee trading activities, and the escalation of issues requiring management’s attention. Additionally, the team lead will be required to learn and manage all Control Room related functions in the Control Room system of record (currently Star Compliance).  This will include management of rules, creation and maintenance of forms/certifications, management of user population and user groups, and additional functions as needed.

Basic Qualifications:

• Bachelors Degree
• 3 or more years’ experience in a compliance or supervisory function; maintaining policies and procedures; preparing compliance risk assessments; evaluating compliance training programs; and monitoring and remediating potential violations of policy or law

Preferred Qualifications:

• Strong technical background with the ability to manage cloud based applications used to support Control Room functions
• Ability to establish a broad understanding in FINRA, SEC, and firm-specific rules and regulations.
• General knowledge of Control Room purpose and functions.
• FINRA series 7 and 24 licensure is strongly encouraged.
• Strong Microsoft Office application skills with an emphasis on Access, Excel and Visio.
• Strong problem-solving skills.
• Self-starter with the ability to meet or exceed deadline expectations.
• Excellent organizational, written, verbal, and presentation skills.
• Ability to influence and work effectively and cross-functionally within Huntington’s business segments.
• Ability to prioritize, multi-task, and maintain flexibility in a fast-paced, changing regulatory environment.
• Ability to interpret and communicate compliance guidance internally.

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

Yes

Workplace Type:

Office

Our Approach to Office Workplace Type

Certain positions outside our branch network may be eligible for a flexible work arrangement. We’re combining the best of both worlds:  in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.

Compensation Range:

$75,000- $85,000 annual salary

The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance.  Colleagues in this position are also eligible to participate in an applicable incentive compensation plan.  In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).

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

Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basis.