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Description The Licensing and Registration Compliance Specialist Senior, will play a critical role in the successful execution of the firm's compliance mission. This position will ensure the development and maintenance of a strong compliance culture by working with internal and external partners to ensure firm and registered representative registrations and licensing are maintained accurately.
Process and monitor Registered Representative and Firm Insurance applications and renewals.
Work with internal and external partners to ensure firm and registered representatives’ compliance with applicable state, SRO and federal regulations, rules and requirements.
Maintain and timely submit individual FINRA Form U4 amendments by following up with the Firm's registered representatives and supervisors to ensure all applicable documents are produced in a timely manner.
Process FINRA Form U5 terminations and conduct necessary research to obtain information for timely and accurate filing submissions with FINRA.
Process and monitor state registration and de-registration requests for registered representatives as needed.
Create and maintain desktop procedures for Registration and Insurance tasks.
Perform registration-related administrative duties including processing status change request forms, creating and maintaining electronic files.
Basic Qualifications:
Bachelor's degree
3 or more years of work experience in broker dealer, financial and insurance services industry.
Preferred Qualifications:
Experience with state and federal securities registrations and insurance licensing filing requirements
Series 7 and 24 licenses.
PC software skills - Word, Excel, PowerPoint, Outlook.
Ability to communicate with co-workers, representatives, and business contacts in a courteous and professional manner in person, through written correspondence and on the phone.
Ability to organize, prioritize and follow-up with firm's employees in a timely manner.
Ability to maintain confidentiality.
Excellent verbal and written communication skills.
Skill in utilizing information in a database.
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
YesWorkplace Type:HybridHuntington 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
