Description

Summary:

The Huntington Financial Advisors Suitability Principal is responsible for pre and post review of financial transactions executed by Advisors, including fixed, indexed and variable annuities, marked linked certificates of deposit, mutual funds and individual securities. Escalates and remediates identified issues with Advisors and Sales Management. Reviews and accepts accounts on behalf of the firm with firm and industry rules / guidelines (FINRA, SEC, DOL, etc.) including brokerage accounts, 529 plans, direct mutual fund applications, insurance and managed accounts. Reviews and escalates emails received or generated that do not comply with HIC guidelines and/or industry rules.

Duties and Responsibilities:

Review suitability and approve new accounts and/or products in compliance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.Evaluate security trades for suitability in accordance with FINRA rules, SEC, DOL regulations and Company policies and guidelines.Escalate trades and partner with Sales Management and Regional Supervisory Officers as necessary to remediate issues.Review inbound and outbound emails to ensure the content are appropriate and meet regulatory standards

Basic Qualifications:

High School DiplomaAt least one year of experience in the securities/investment industrySeries 7Additional License Requirements: Series 24, 66, and Life and Health required to be obtained within 180 days of hire

Preferred Qualifications:

Bachelors DegreeRetail brokerage and/or annuity experience strongly preferredStrong interpersonal, verbal, & written communication skillsGood organization skills & attention to detailGood research, analytical and problem solving skillsComputer/navigational skills (Microsoft Office)Effective time management skills in order to meet service level agreements

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

Yes

Workplace Type:

Office

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 Huntington's Career Web Site for more details.

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

Huntington will not sponsor applicants for this position for immigration benefits, including but not limited to assisting with obtaining work permission for F-1 students, H-1B professionals, O-1 workers, TN workers, E-3 workers, among other immigration statuses. Applicants must be currently authorized to work in the United States on a full-time basi