Chief Compliance Officer

Description The Chief Compliance Officer will play a critical role in the execution and implementation of The Huntington Investment Company (HIC) compliance program in accordance with all relevant securities related laws and rules including the SEC, FINRA, Insurance and State specific rules.
HIC is a Broker/Deal and Registered Investment Advisor dual registrant.
As the B/D and RIA CCO, the successful candidate will maintain and establish standards and implement procedures to ensure that the compliance program remains effective in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
HIC is an affiliate of Huntington National Bank engaged in providing Retail Non-Deposit Investment Products.
Location: Preferred locations are Columbus, OH - Cleveland, OH - Cincinnati, OH – Chicago, IL.
***The expectation would be to travel to the Columbus location on a monthly basis (Minimum) to support a team.
Duties and Responsibilities: Oversee the HIC compliance program functions including implementation of written supervisory procedures, policies, training, testing, information barriers, surveillance and AML compliance.
Proactively build relationships with regulators and act as the liaison for all regulatory inquires and examinations.
Facilitate regulatory change management for HIC within the Enterprise Risk Management Structure.
Manage the branch and OSJ office examinations for the business.
Ensure testing is performed in accordance with FINRA Rule 3120 and Annual Review Requirements are met under Rule 206 (4)-7 of the Advisors Act, FINRA Rule 3130 and DOL Retrospective Review.
Ensure there is effective review and approval of marketing, advertising and correspondence under Communication with the Public Rules and general content standards.
Oversee the onboarding and registration/licensing process inclusive of U4 and U5 submission.
Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal.
Basic Qualifications: Bachelor’s degree 7-10 years of progressively responsible compliance/securities industry experience required.
Series 7, 24, 53 and 65/66 licenses or the ability to obtain within 6 months of hire.
Preferred Qualifications: Previous experience as a Chief Compliance Officer.
Excellent analytical and problem-solving skills Elevated level of familiarity with financial services industry and regulatory agency guidance, rules, and examination processes Ability to interpret regulations both technically and using a principles-based approach Proficient application of risk assessment and risk management methodologies High degree of comfort presenting to senior and executive management Industry certifications Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes Workplace Type: Hybrid 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