Compliance

• Play a critical role in the execution and implementation of the Compliance Program for Huntington’s Investment Banking Broker Dealers and Wealth Management Division.
• Oversee a team of experienced Compliance Professionals and partner with senior leaders to ensure effective governance and controls within the Compliance Framework.
• Oversee broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance.
• Support oversight and integration of affiliate Insurance activities into the Compliance Program structure.
• Build relationships with regulators, acting as liaison for broker-dealer regulatory inquiries.
• Advise and collaborate with Business, Legal and Risk partners to achieve Compliance Program standards.

Chief Compliance Officer, Senior

Compliance Intern

Regulatory Reporting Capital Manager