Compliance Team Lead – Testing

Huntington National Bank


The HFA Compliance Team Lead – Testing will be part of the 2nd Line of Defense Compliance team, responsible for providing end to end compliance support to the line of business (“LOB”). They will support all components of the compliance framework by providing subject matter expertise to enable the LOB to manage their compliance risk effectively. They w ill be individually responsible for duties associated the HFA Compliance Testing Team, including performing tests, drafting memos, and communicating test results with the business. They may also be responsible for training and supporting other team members. They will be expected to present on key program or discipline initiatives within the HFA Compliance Team. They will demonstrate the ability to actively evaluate their own program or discipline and recommend enhancements. They will be expected to be cross trained in at least one other role or function.

The HFA Compliance Team Lead – Testing will be responsible to:

Use their knowledge, skills, experience, and/or specialized training or certifications in the securities industry to test HFA’s compliance with industry rules and regulations.

Ensure HFA Compliance tests are completed thoroughly and objectively, utilizing business resources to gain a comprehensive understanding of processes, policies, and procedures.

Demonstrate strong analytical ability, reviewing current HFA practices and procedures against regulatory requirements and internal policies (i.e., the Firm’s Written Supervisory Procedures).

Identify gaps and inform solutions that minimize the losses resulting from inadequate internal processes, systems, or human error.

Generate and analyze reports from various internal systems, reviewing to identify trends, patterns, and gaps that represent potential risks.

Evaluate the materiality of risks or gaps identified through testing efforts, leveraging an active awareness of regulatory activity and industry changes.

Evidence exceptional written proficiency in the drafting of clear, concise, and actionable Testing Memos.

Communicate testing outcome(s) and their impacts in practical terms to the line of business, providing actionable information to all relevant stakeholders.

Build and foster strong inter and intra departmental relationships, utilizing strong communication skills.

Partner with Segment Risk on enterprise risk management issues and provide input on action plans and finding remediation.

Assist in other Compliance functions or projects as needed; provide back-up support and be cross-trained in at least one other HFA Compliance role or function.

Basic Qualifications:

Bachelors degree or equivalent work experience

5 years securities industry experience (brokerage or RIA)

FINRA Series 7 and Series 24 (or the ability to obtain within 120 days)

Preferred Qualifications:

3 years of securities industry Compliance or Supervision experience

Series 65/66

Strong written and verbal communication skills.

High level of familiarity with FINRA, SEC and other regulatory agency guidance, rules and examination processes

Ability to interpret regulations both technically and using a principles-based approach

Proficient application of risk assessment and risk management methodologies

High degree of comfort presenting to senior and executive management.

This employer will not sponsor applicants for the following work visas: F-1 student, H-1B worker, O-1 worker, TN worker, E-3 worker. Applicants must be currently authorized to work in the United States on a full-time basis.



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.

Tobacco-Free Hiring Practice: Visit Huntingtons Career Web Site for more details.

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