Description

The HFA Regional Supervisory Officer Sr. serves as the OSJ Manager and retains accountability and responsibility for OSJ and branch activities consistent with responsibilities under FINRA guidelines. This role will delegate suitability review to the centralized Principal Review Desk and other functions to additional supervisors in market.

Duties & Responsibilities:

• OSJ & BRANCH MANAGEMENT: Performs branch assessments, remediates audit findings discovered from compliance branch exams. Supports any branch openings or closings. Ensures appropriate books and records are maintained for OSJ and branches. Assists with regulatory exams or audits, may be point person. Supports compliance and other regulatory agencies (FINRA, SEC, etc.) during OSJ and branch audits and exams, including communication and research. Assists in complaint research, obtains necessary documentation or statements, and participates in remediation process. Reviews and approves communications with the public; including correspondence, advertising and seminars.
• REGISTERED REP OVERSIGHT: Participates in interview process, may assist in onboarding functions of new colleagues. Reviews and monitors non-cash compensation disclosures, including gifts and business entertainment. Approves and monitors outside business activities. Supports disciplinary process including preparing cases to escalate to the Disciplinary Action Working Group and recommending appropriate actions. Implements and delivers corrective action plans, including the oversight and execution of Heightened Supervision Plans (HSP). Reviews and remediates escalated email. Conducts advisor business practice reviews.
• SALES & TRADE OVERSIGHT: Reviews and monitors replacement activity, trade errors, sales patterns, practices and trends. Collaborates with Sales Manager to address outstanding or delinquent Advisor activities including trade exceptions and outstanding work items. Conducts quality assessments on trade rationale documentation, profiles, and annual account reviews. May participate in joint sales meetings.
• Performs other duties as assigned.

Basic Qualifications:

• High School Diploma
• Five to seven years of securities industry experience. Minimum three years in compliance or supervision role
• Series 7, 24, 63 and 65/66 and Life and Health Insurance License

Preferred Qualifications:

• Bachelor's Degree

#LI-Hybrid

#LI-CG1

#HFA

Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)

Workplace Type:

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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Agency Statement: Huntington does not accept solicitation from Third Party Recruiters for any position