National Advice Center - HFA Regional Supervisory Officer

Description

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.

Basic Qualifications:

• 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)

• Bachelor's degree

Preferred:

• 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

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

Welcome to Huntington!

At Huntington, we see it as our responsibility to look out for people. There's a common bond that connects us all as humans, and together, we can make this world better. An amazing thing happens when we look out for each other. Even helping someone in a small way can have a huge impact. It's the idea at the core of Huntington and one we're trying to spread.

Our colleagues look out for people by doing the right thing with a Can-Do Attitude, Service Heart and Forward Thinking. Those are our values -simple but powerful. If that sounds like you, we hope you'll apply to join our team. If you'd like to learn more about how Huntington looks out for people, visit ~~~.

Job Alerts

If you would like to be kept informed of new potential opportunities, click here (~~~) . You will be asked to create an account if you do not already have one.

We endeavor to make this site accessible to any and all users. If you would like to contact us regarding the accessibility of our website or need assistance completing the application process, please contact us at ~~~.