Broker Dealer Operations Specialist

Description

Summary:

The Huntington Securities, Inc. (HSI) Broker Dealer Ops Analyst 2, New Account Onboarding Specialist 2, is responsible for supporting institutional broker dealer operations including client onboarding, asset movement, and account maintenance. In this dynamic team environment, you will maintain detailed knowledge of broker dealer operations and organizational policies and procedures. Additionally, you may participate in special projects to drive process improvement.

Duties & Responsibilities:

• Review institutional client onboarding requests and ensure correct documentation is provided based on client type, e.g., Corporation, LLC, Partnership.
• Complete AML CIP/KYC/OFAC scans for all onboarding and maintenance requests
• Review and approve Asset Movements, including wire and ACH transactions
• Complete account maintenance requests
• Support operations of other institutional sales and trading products, such as ICS/CDARs and Money Market Fund investments
• Manage daily settlement processes, including reviewing settlement reports, initiating, and approving settlement wires, and performing settlement account reconciliation
• Prepares and updates procedures and job aids
• Processes ad hoc reports or requests as needed
• Work with audit or risk colleagues to provide information and test internal controls
• Assist in the training of new colleagues; perform quality checks on completed work
• Performs other duties as assigned

Basic Qualifications

• High School Diploma or Equivalent
• 1or more years of brokerage/investment onboarding, operations, or comparable experience

Preferred Qualifications

• Ability to manage multiple priorities in a fast-paced environment; adaptive to change
• Ability to create and foster strong partnerships with business partners and work well in a team environment
• FINRA SIE and Series 99
• Detail oriented with strong organizational skills
• Experience with AML CIP/KYC processes
• Experience processing and approving wire and ACH transactions
• Experience onboarding institutional clients, including foreign institutions
• If currently licensed with Series 6 or 7 would not need additional licensing
• Proficient in Microsoft products, including Excel, Outlook, etc.

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

No

Workplace Type:

Office

Our Approach to Office Workplace Type

Certain positions outside our branch network may be eligible for a flexible work arrangement. We're combining the best of both worlds: in-office and work from home. Our approach enables our teams to deepen connections, maintain a strong community, and do their best work. Remote roles will also have the opportunity to come together in our offices for moments that matter. Specific work arrangements will be provided by the hiring team.

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 basis.

Huntington is an Equal Opportunity Employer.

Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details.

Note to Agency Recruiters: Huntington will not pay a fee for any placement resulting from the receipt of an unsolicited resume. All unsolicited resumes sent to any Huntington colleagues, directly or indirectly, will be considered Huntington property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration.