Huntington National Bank Investment Advisory Surveillance Specialist in Columbus, Ohio
The HFA (Huntington Financial Advisors) Investment Advisory Services Team is responsible for supporting the sales, service and surveillance of the investment advisory accounts.
The HFA Investment Advisory Surveillance Specialist will be responsible for:
Ongoing monitoring and surveillance of the investment advisory platform
Detect anomalies or exceptions to the firm's investment policies
Provide reporting of policy exceptions and trending to Senior Leadership, Sales Management, Financial Advisors and Compliance
Identify and recommend changes to investment policies and procedures to address gaps or improve adherence to the regulatory and firm requirements.
Review, draft, implement and maintain desktop procedures
Establish and maintain controls for investment advisory accounts -- including by not limited to account establishment, program and product setup, billing, house holding requirements, trading and funding
Provide support and service as escalation point for account servicing
Series 66 (63,65)
5 or more years financial services industry experience
Demonstrated ability to meet deadlines and work independently
Strong organizational and communication skills
EEO/AA Employer/Minority/Female/Disability/Veteran/Sexual Orientation/Gender Identity
Tobacco-Free Hiring Practice: To demonstrate our commitment to health and wellness, Huntington will not hire any candidate who uses tobacco or any nicotine product including, but not limited to, cigarettes, cigars, pipes, smokeless tobacco, chewing tobacco, snuff or snus, nicotine gum, the nicotine patch or any other kind of nicotine replacement product (where permitted by applicable state law). Candidates applying for positions in those states will be notified of this practice during the recruitment process and, if offered a position, will be screened for cotinine (to check for use of tobacco and/or nicotine products and/or nicotine replacement therapy products) before they begin employment. If the position to which you're applying is covered by this practice, the job application will provide greater detail as to what constitutes tobacco use.
Huntington does not accept solicitation from Third Party Recruiters for any position.