Description

Associate General Counsel – Broker-Dealer and Investment Advisor Segment

Huntington National Bank has an exceptional opportunity for a talented lawyer to join its dynamic Legal Department in Columbus, Ohio. As Assistant General Counsel, you will provide legal advice and guidance relating to broker-dealer and investment agent regulations and securities laws for the Huntingtin Investment Company business segment, which is a registered broker-deal and investment advisor offering securities and insurance products and services. The ideal candidate will have deep regulatory experience advising corporate clients regarding Securities Exchange Act and Investment Advisors Act, SEC/FINRA rules and interpretive guidance, regulatory exam matters and emerging regulatory developments, as well as state broker-dealer/registered agent regulations. We are seeking a highly motivated, seasoned lawyer who appreciates which issues matter the most and delivers timely customer service in a fast-paced and quickly evolving business environment.

Job Description:

• Provide creative and flexible legal advice to help the business segment achieve their goals while mitigating risk relating to broker-dealer and investment advisor regulatory and litigation matters;
• Work closely with the Huntington Investment Company corporate clients, as well as Risk and Compliance counterparts as the subject matter expert to identify legal and regulatory requirements; litigation and regulatory risks; and potential mitigation strategies;
• Advise and support SEC and FINRA filings, disclosures, examinations and supervisory programs.
• Draft brokerage and/or investment terms and conditions, policies, disclosures and other related information for broker-dealer/investment advisor contracts and other services and features;
• Provide interpretation, advice and application of laws, regulations, and other regulatory guidance and best practices related to securities products and services in a highly regulated financial services environment, plus act as subject matter expert on certain laws and regulations;
• Collaborate with the line of business, compliance, risk and other stakeholders to issue spot and identify and escalate risks (legal, reputational, or otherwise) and implement policy, process, and procedural changes to comply with broker-dealer/investment agent policy and changing rules/ regulations;
• Review proposed new or modified products and services, businesses, practices, procedures, and identify any legal and regulatory issues.
• Provide prompt and responsive counsel while handling multiple issues in a deadline-intensive environment.

Basic Requirements:

• Bachelor’s Degree and JD required
• 8+ years of experience
• Licensed attorney who is eligible to be licensed as Corporate Counsel in Ohio or otherwise admitted to the Ohio Bar

Preferred Additional Qualifications:

• 6+ years practicing as an attorney with financial industry experience
• Deep background and experience advising broker-dealer and investment advisor clients with regard to SEC/FINRA/Dodd-Frank regulations and compliance
• Strong interpersonal skills and collegial attitude
• A collaborative team player who likes to work with others to get the job done
• Ability to resolve issues, to get to “yes” efficiently and drive performance
• Excellent time management and organizational skills
• Demonstrated success managing multiple projects and competing priorities under pressure
• Highly motivated self-starter with demonstrated growth mindset and passion for learning
• Ability to break down complex legal concepts to internal clients in a practical, understandable way that balances legal risk and business objectives
• Rigorous attention to detail with the ability to think creatively about unique issues.
• Ability to balance business considerations with legal risk and maintain effective business relationships
• Enjoys the challenge of unfamiliar tasks and projects
• Communicates clearly and succinctly to internal and external parties in a variety of communication settings and styles.

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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 Huntington's Career Web Site for more details.

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