11/29/2023
Description Summary: The HFA Regional Supervisory Officer Sr. II serves as the OSJ Manager and is accountable and responsible for OSJ and branch activities under FINRA guidelines. Regional Supervisory Officer will delegate suitability review to the centralized Principal Review Desk and some OSJ Manager functions to a Region Sales Managers. 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...
Huntington
Remote - Pennsylvania (Pittsburgh Region), PA, USA
Full Time