National Advice Center - HFA Regional Supervisory Officer
Note: This position allows the selected individual to sit remotely within the current Huntington footprint (IN, OH, WV, MI, PA, KY, IL) and would require travel to the Columbus, OH and Akron, OH markets at least on a bi-annual basis.
The individual selected serves in a fully-delegated supervisory capacity for the National Advice Center (NAC), and retains accountability and responsibility for OSJ activities under FINRA guidelines. The position will be responsible for certain supervisory functions as well as administrative/operational functions within the NAC.
The selected professional is responsible for the following (but not limited to):
Supervision of non-registered branches assigned to the NAC. Administration and maintenance of OSJ files, ensuring books and records are appropriately maintained. Assists with regulatory exams or audits, may be point person. Supports compliance and management during OSJ exams, including research.
Assists in service-related customer complaints, including customer outreach calls. Reviews and approves correspondence.
Reviews and monitors non-cash compensation disclosures, including gifts and business entertainment. Approves and monitors outside business activities. Investigates and remediates HFA Alerts.
Listens to recorded customer calls to validate authentication procedures and protocols are appropriately followed. Reviews internal and external email to and from NAC colleagues and remediates any email escalations.
Collaborates with Sales Managers to address outstanding or delinquent Advisor activities including trade exceptions and outstanding work items.
Other administrative and operational functions as needed and requested. Assists in firm-level RSO functions as needed such as correspondence reviews and referral reviews.
At least 3 years of securities industry experience
FINRA Series 7, 24, 63 and 65/66 and Life and Health Insurance Licenses (65/66, Life and Health licensing may be obtained within 120 days of hire)
Previous Supervisor or Principal review experience
Experience building or modifying processes and/or procedures in the securities industry
Ability to work with HFA/NAC clients as well as varied levels of leadership within the organization
Excellent communication skills
Ability to influence, coach, and confer with various lines of business in a professional manner
EEO/AA Employer/Minority/Female/Disability/Veteran/Sexual Orientation/Gender Identity
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