HFA Compliance Group Manager

Description

Summary:

The HFA Compliance Group Manager oversees the compliance monitoring and testing (2nd Line of Defense) of the Firm to determine the degree of compliance with securities industry rules and requirements and their implementing regulations. This position provides guidance and direction to staff responsible for performing compliance monitoring and testing, responsible for development and maintenance of compliance procedures and monitoring and testing schedules and programs, and provides technical compliance assistance including research of compliance issues.

Duties and Responsibilities:

• Lead a team of HFA Compliance dedicated colleagues. Mentor, coach and develop the team to facilitate team engagement.
• Foster an environment of teamwork, inclusiveness and career growth and development.
• Assist the team in prioritizing work and navigating roadblocks.
• Participate in all phases of compliance review processes.
• Strive to continuously improve the Firm’s compliance program through process improvements, including leveraging data/systems/etc. to automate where applicable.
• Monitor changes in laws, regulations, and policies as well as regulatory best practices impacting the compliance program.
• Coordinate request materials for regulatory internal and external audit and regulatory compliance examinations.
• Lead investigations and preparation of firm responses to regulatory inquiries.
• Develop and maintain compliance monitoring programs and periodic testing procedures, including work papers and report formats.
• Coordinate/collaborate with Risk and Audit partners to ensure alignment of schedules and test plans.
• Draft, review and approve all final reports and respective workpapers.
• Ensure reporting is actionable and meaningful to stakeholders.
• Effectively communicate findings and recommendations with stakeholders.
• Monitor all open compliance findings until satisfactorily resolved and escalate status as warranted.
• Oversee corrective actions taken to address compliance deficiencies.
• Conduct formal follow-up testing to determine adequacy and effectiveness of action taken.
• Assist the HFA Chief Compliance Officer with writing, editing, and presenting compliance material.
• Perform supervisory functions, including but not limited to, making employment decisions regarding hiring, promoting, demoting and terminating, conducting performance appraisals and coaching and developing staff.
• Onboard new associates.
• Perform other duties as assigned.

• Basic Qualifications:

• Bachelor's degree or equivalent work experience in the financial industry.
• 10+ years of securities industry compliance experience with 5+ years of supervisory experience.

Preferred Qualifications:

• FINRA Series 7, 24 and 66 licenses
• Ability to interpret laws and regulations and provide solutions
• Excellent written and verbal communication skills
• Strong investigative interview and presentation skills
• Ability to motivate subordinates and assess work priorities
• Project management skills; high degree of initiative and excellent organization skills
• Ability to multi-task and reprioritize tasks as needed
• Computer aptitude with emphasis on Microsoft Office applications
• Experience leveraging data/systems to automate testing routines and bring efficiencies
• Knowledge of financial institution operations and technology
• Ability to motivate subordinates and assess work priorities

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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.

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