4,712 Head Of Compliance jobs in the United States

**Working Title: Chief Compliance Officer**
**Job Class: State Program Administrator, Manager Principal**
**Agency: Children Youth & Families Dept**
+ **Job ID** : 89347
+ **Location** : St. Paul
+ **Telework Eligible** : Yes*
+ **Full/Part Time** : Full-Time
+ **Regular/Temporary** : Unlimited
+ **Who May Apply** : Open to all qualified job seekers
+ **Date Posted** : 10/02/2025
+ **Closing Date** : 10/22/2025
+ **Hiring Agency/Seniority Unit** : Children Youth & Families Dept / DeptChildYth&Fam-Managerial
+ **Division/Unit** : DCY - Compliance/ DCYF Commissioner's Staff
+ **Work Shift/Work Hours** : 8:00 am - 5:00 pm
+ **Days of Work** : Monday - Friday
+ **Travel Required** : No
+ **Salary Range:** $48.45 - $9.48 / hourly; 101,163 - 145,074 / annually
+ **Classified Status** : Classified
+ **Bargaining Unit/Union** : 220 - Manager/Unrep
+ **FLSA Status** : Exempt - Administrative
+ Designated in Connect 700 Program for Applicants with Disabilities ( : Yes
The Department of Children, Youth, and Families is unable to provide sponsorship for work visas. Applicants must be eligible to work in the United States at the start of employment. DCYF does not participate in E-Verify.
**The work you'll do is more than just a job.**
At the State of Minnesota, employees play a critical role in developing policies, providing essential services, and working to improve the well-being and quality of life for all Minnesotans. The State of Minnesota is committed to equity and inclusion, and invests in employees by providing benefits, support resources, and training and development opportunities.
*Telework Within Minnesota and flexible hours options are available. Employees that live 50 miles or less from their primary/principal work location and live within the State may telework more than 50% with approval. *** Employees may telework outside the state of Minnesota if they live in a state bordering Minnesota and live 50 miles or less from the primary/principal work location. See policy for additional information.
The Department of Children, Youth, and Families (DCYF) is seeking a dynamic and strategic leader to serve as our Chief Compliance Officer (CCO). This position oversees funding, programs, and services of significant complexity and scope, ensuring DCYF's operations reflect the highest standards of integrity, accountability, and compliance.
As the CCO, you will:
+ Lead the development and implementation of strategies to align compliance efforts with DCYF's mission and objectives.
+ Provide broad direction for compliance activities, including policy development, program oversight, risk management, and auditing.
+ Recommend solutions to sensitive, complex, and high-visibility issues impacting the agency.
+ Ensure compliance with federal and state regulations through proactive monitoring, effective communication, and corrective action planning.
+ Promote a culture of integrity and accountability across the organization.
+ Serve as a trusted advisor and subject matter expert, often recognized at state and national levels.
+ Collaborate with agency leaders, policymakers, and external partners to address issues of significance that span multiple agencies and stakeholders.
This role requires exceptional leadership, vision, and diplomacy skills. The ideal candidate will have a proven ability to balance regulatory requirements with strategic priorities, while fostering strong relationships and driving organizational success.
If you are an experienced compliance professional with the passion and expertise to make a statewide impact, we encourage you to apply and help shape the future of DCYF.
**Minimum Qualifications**
***To facilitate proper crediting, please ensure that your resume clearly describes your experience in the areas listed and indicates the beginning and ending month, day and year for each job held.***
Experience managing teams, including providing leadership and management through change.
AND
5 years of compliance and/or quality improvement experience while managing programs, including strategic planning and directing the work of staff. Experience must demonstrate:
+ Experience managing multiple projects using project management methodology including all principles involved in planning, executing, controlling, evaluating, and closing projects.
+ Experience collecting and analyzing large amounts of data and using the data to create reports and dashboards.
+ Experience with compliance programs, plans, policies, procedures and performance improvement activities.
+ Knowledge of state and federal rules, regulations and legal procedures covering a wide variety of topics and subjects related to human service or social service programs.
+ Ability to develop internal and external relationships sufficient to work with and influence different constituencies with diplomacy and build and support diverse teams in a respectful and inclusive manner.
+ Experience working with programs that serve diverse communities and developing materials to communicate to diverse audiences.
+ Experience working in areas of diversity, equity, inclusion and antiracism in professional settings.
**Preferred Qualifications**
+ Juris Doctorate or Master's degree or coursework in a field related to compliance, human/social services or public administration.
+ Certified in compliance.
+ Lean six sigma certification or experience with continuous quality improvement methods.
+ Our employees are dedicated to ensuring cultural responsiveness. Preferred candidates will have a variety of experiences working effectively with others from different backgrounds and cultures.
**Additional Requirements**
It is the policy of the Department of Children, Youth, and Families that the individual selected for this position successfully complete a background investigation prior to employment, that may include the following components:
+ Reference check
+ Criminal Background check
+ Fingerprinting check (MNJIS/CJIS)
+ Personnel File Review: current and former public sector employees.
AN EQUAL OPPORTUNITY EMPLOYER
Minnesota State Colleges and Universities is an Equal Opportunity employer/educator committed to the principles of diversity. We prohibit discrimination against qualified individuals based on their race, sex, color, creed, religion, age, national origin, disability, protected veteran status, marital status, status with regard to public assistance, sexual orientation, gender identity, gender expression, or membership in a local commission as defined by law. As an affirmative action employer, we actively seek and encourage applications from women, minorities, persons with disabilities, and individuals with protected veteran status.
Reasonable accommodations will be made to all qualified applicants with disabilities. If you are an individual with a disability who needs assistance or cannot access the online job application system, please contact the job information line at or email . Please indicate what assistance is needed.

Our client, a rapidly growing fintech company specializing in digital banking solutions, is seeking an accomplished Chief Compliance Officer (CCO) to lead their compliance functions on a fully remote basis, serving clients and operations primarily in San Diego, California, US . This executive position is responsible for developing, implementing, and maintaining a comprehensive compliance program that aligns with all applicable federal and state banking regulations, securities laws, and industry best practices. You will oversee all aspects of regulatory adherence, risk management, and internal controls to ensure the integrity and security of our financial services. Key responsibilities include establishing and enforcing policies and procedures related to AML, KYC, BSA, data privacy, consumer protection, and cybersecurity. The CCO will serve as the primary liaison with regulatory bodies, manage internal and external audits, and provide strategic guidance to senior management and the board of directors on compliance matters. The ideal candidate will possess a Juris Doctor (JD) or a Master's degree in Law, Finance, Business Administration, or a related field, with a minimum of 10 years of progressive experience in banking or financial services compliance, with at least 5 years in a senior leadership role. A deep understanding of complex regulatory frameworks governing digital banking and fintech is essential. Exceptional analytical, strategic planning, and communication skills are required to effectively navigate the evolving regulatory landscape and build a robust compliance infrastructure. This is a high-impact role offering the opportunity to play a pivotal part in scaling a disruptive financial technology organization while upholding the highest standards of ethical conduct and regulatory compliance.

At U.S. Bank, we're on a journey to do our best. Helping the customers and businesses we serve to make better and smarter financial decisions and enabling the communities we support to grow and succeed. We believe it takes all of us to bring our shared ambition to life, and each person is unique in their potential. A career with U.S. Bank gives you a wide, ever-growing range of opportunities to discover what makes you thrive at every stage of your career. Try new things, learn new skills and discover what you excel at-all from Day One.
**Job Description**
This position within RSS will serve as the Chief Compliance Officer (CCO) for one of our multiple series trusts (MST) containing mutual funds and exchange traded funds. This position is responsible for:
+ MaintainingtheMST'scomplianceprogram,including thereviewandadministrationofcompliance policiesandproceduresandthecreationofnewpoliciesandproceduresinresponsetonewly issued regulatory guidance
+ ComplianceoversightofserviceproviderstotheMST,specificallynumerousindependent investmentadvisers, U.S. Bank Global FundServicesasTransferAgent,FundAdministrator,andFund Accountant,U.S.BankasCustodian,andexternalpartiessuchasDistributor(s)totheFunds
+ ReviewingcomplianceprogramsandrelateddocumentationoftheMST'sserviceprovidersand conductingsitevisits (on-siteorvirtually)toobservethecomplianceprogramsinplaceat the MST's service providers
+ WorkingcloselywithotherMSTOfficersandactivelyparticipatinginMSTBoardMeetings
+ Overseeing,coaching, and providingfeedbackon theCCOSupportStaffassigned totheMST
+ ActingastheMSTanti-moneylaundering(AML)OfficerfortheirrespectiveTrust
+ ManagingtheMST'sregulatoryexaminations
+ PreparinganddeliveringtheMSTscompliancereports,includingthe38a-1annualreport
The MST CCO partners with the other MST CCOs and MST Officers in monitoring and addressing changes in the regulatory landscape and determining the impact of such changes to the MST. CCO Support Staff assist the MST CCO in their duties.
In addition, the MST CCO may prepare and participate in webinars/calls on regulatory or RSS updates to Fund Services' clients, work on departmental projects and other tasks as assigned.
**Basic Qualifications**
- Bachelor's degree, or equivalent experience
- Ten or more years of related experience
- Two or more years of managerial experience
**Preferred Skills/Experience**
- Bachelor's degree in related field with master's degree/JD a plus
- Ten or more years of experience in a compliance or financial industry related role, preferably in a CCO role or securities related
-Prior experience with compliance or operational aspects of ETFs
- Strong knowledge of federal securities regulations (1940 Act, Advisers Act, AML)
- Strong organization, analytical, managerial and project management skills
- Ability to manage multiple projects and deadlines simultaneously
- Effective interpersonal, verbal and written communication skills, past Board reporting experience a plus
- Proficient computer skills, specifically Microsoft Office applications (Outlook, Teams, Word, Excel)
- Ability to work independently and effectively manage priorities
- Team player who can adjust rapidly in response to critical business needs
- Approximately 15% travel required
If there's anything we can do to accommodate a disability during any portion of the application or hiring process, please refer to our disability accommodations for applicants ( .
**Benefits:**
Our approach to benefits and total rewards considers our team members' whole selves and what may be needed to thrive in and outside work. That's why our benefits are designed to help you and your family boost your health, protect your financial security and give you peace of mind. Our benefits include the following (some may vary based on role, location or hours):
+ Healthcare (medical, dental, vision)
+ Basic term and optional term life insurance
+ Short-term and long-term disability
+ Pregnancy disability and parental leave
+ 401(k) and employer-funded retirement plan
+ Paid vacation (from two to five weeks depending on salary grade and tenure)
+ Up to 11 paid holiday opportunities
+ Adoption assistance
+ Sick and Safe Leave accruals of one hour for every 30 worked, up to 80 hours per calendar year unless otherwise provided by law
U.S. Bank is an equal opportunity employer. We consider all qualified applicants without regard to race, religion, color, sex, national origin, age, sexual orientation, gender identity, disability or veteran status, and other factors protected under applicable law.
**E-Verify**
U.S. Bank participates in the U.S. Department of Homeland Security E-Verify program in all facilities located in the United States and certain U.S. territories. The E-Verify program is an Internet-based employment eligibility verification system operated by the U.S. Citizenship and Immigration Services. Learn more about the E-Verify program ( .
The salary range reflects figures based on the primary location, which is listed first. The actual range for the role may differ based on the location of the role. In addition to salary, U.S. Bank offers a comprehensive benefits package, including incentive and recognition programs, equity stock purchase 401(k) contribution and pension (all benefits are subject to eligibility requirements). Pay Range: $126,820.00 - $149,200.00
U.S. Bank will consider qualified applicants with arrest or conviction records for employment. U.S. Bank conducts background checks consistent with applicable local laws, including the Los Angeles County Fair Chance Ordinance and the California Fair Chance Act as well as the San Francisco Fair Chance Ordinance. U.S. Bank is subject to, and conducts background checks consistent with the requirements of Section 19 of the Federal Deposit Insurance Act (FDIA). In addition, certain positions may also be subject to the requirements of FINRA, NMLS registration, Reg Z, Reg G, OFAC, the NFA, the FCPA, the Bank Secrecy Act, the SAFE Act, and/or federal guidelines applicable to an agreement, such as those related to ethics, safety, or operational procedures.
Applicants must be able to comply with U.S. Bank policies and procedures including the Code of Ethics and Business Conduct and related workplace conduct and safety policies.
**Posting may be closed earlier due to high volume of applicants.**

Nelnet is a diversified and innovative company committed to enriching lives through the power of service as a student loan servicer, professional services company, consumer loan originator and servicer, payments processor, renewable energy solutions, and K-12 and higher education expert. For over 40 years, Nelnet has been serving its customers, associates, and communities.
The perks of working at Nelnet go beyond our benefits package. When you join the Nelnet team, you're part of a community invested in the success of each individual. That support comes through in our work, as we are united by our mission of creating opportunities for people where they live, learn, and work.
The Chief Compliance Officer ("CCO") is a consumer advocate with the primary focus of protecting the end consumer and customer. The CCO will ensure the development and maintenance of a strong compliance management program through strict adherence with applicable consumer protection laws, regulations, Congressional directives and best practices that govern the Company and its products and services. The CCO will ensure consumer requests, CFPB Complaint Portal postings, and other borrower/consumer complaint/inquiry issues are properly managed and appropriate actions are taken to correct identified concerns. This position will provide the means to communicate compliance and regulatory changes, oversee compliance training for all associates and board members, and administer Corporate Policies. The CCO will periodically update executive management, management committees and the Board Compliance and Risk Committee on compliance and regulatory matters. This position will be particularly focused on the unique facets of a start-up bank including the bank readiness exam and related regulatory interactions, operational preparation and execution and other de novo implications such as policy and procedural development/review and training.
- Maintain extensive knowledge and understanding of consumer protection laws, regulations, Congressional directives and industry best practices - Understand business segment and operation products and services and keep abreast of changes (new products, services or business practices) - Provide recurring reports of compliance risks, issues and resolutions to executive management, management committees and a committee of the Board - Develop and manage bank policies and procedures and ensure compliance with consumer protection laws and regulations - Train the Board, management and employees in consumer protection laws and regulations - Evaluate emerging compliance issues or potential liabilities - Evaluate consumer complaints or business practices for trends that require corrective actions - Provide a vision, leadership and direction for the Bank's compliance management program. Ensure adequate staffing and resources are available to complete the bank's compliance requirements. Provide input and feedback to the performance management process of those compliance professionals who service the bank. - Provide policies and guidance related to consumer regulations and requirements - Maintain current knowledge of regulatory changes, trends within the industry, and regulator expectations - Manage, develop and support the compliance training function and staff, and coordinate compliance training within the company - Support the Company's strategy by ensuring the compliance of regulatory initiatives that include new policies, product development and marketing materials - Assist all functional departments in achieving strategic goals by providing regulatory counsel - Work directly with the Consumer Financial Protection Bureau (CFPB) as requested, Federal Deposit Insurance Corporation (FDIC), Utah Department of Financial Institutions and U.S. Department of Education (USDE) on consumer protection regulatory and compliance matters to clarify and interpret questions governing Nelnet practices, including coordination of a response to compliance program and other regulatory reviews and inquires - Coordinate and collaborate with Legal, Risk Management and Internal Audit to evaluate possible compliance issues or inquiries. Assist the Chief Risk Officer in developing the annual compliance work plan that reflects the company's highest risks that will be monitored by the compliance function as determined through risk assessments using an enterprise wide approach - Provide guidance and responses as part of the Risk and Compliance Communication Committee - Prepare, monitor, and oversee the budget in accordance with established formats and guidelines - Monitor customer surveys, correspondence and complaints, as well as, assessment, review and audit results for areas that require additional training and oversight - Maintain easy to use processes for associates to ask questions and receive answers related to the interpretation of regulations or policies - Escalate compliance concerns to the appropriate level of management based on potential risk exposure
**Note: This role is located onsite in our Draper, Utah location**
EDUCATION: Bachelor's or Master's degree required. Preferred fields of study: Business, Political Science, or Law Juris Doctor preferred
EXPERIENCE: - 10+ years in business, risk management, regulatory relations, compliance, or project management
- 10+ years leading, developing, and managing professional teams
- Certified Regulatory Compliance Manager required. Additional certifications a plus
- Experience in evaluating, interpreting, and communicating laws and regulations
- Working knowledge of consumer lending regulations, including but not limited to:
+ Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
+ Unfair, Deceptive or Abusive Acts or Practices Act
+ Truth-In-Lending Act
+ Fair Credit Reporting Act
+ Fair Debt Collection Practices Act
+ Equal Credit Opportunity Act
+ Gramm-Leach-Bliley Act
+ E-Sign Act
+ Electronic Funds Transfer Act
COMPETENCIES - SKILLS/KNOWLEDGE/ABILITIES:
- Proven leadership, relationship, and personnel development skills.
- Excellent written and oral communication skills.
- Strong interpersonal, diplomatic, judgment, time management, and presentation skills.
- Ability to hire, retain, and lead a dynamic and independent team.
- Excellent strategic planning and analytical skills.
- Ability to prioritize and delegate projects.
- Reliable, dedicated and high level of integrity.
Our benefits package includes medical, dental, vision, HSA and FSA, generous earned time off, 401K/student loan repayment, life insurance & AD&D insurance, employee assistance program, employee stock purchase program, tuition reimbursement, performance-based incentive pay, short- and long-term disability, and a robust wellness program. Click here to learn more about our benefits: LINK ( .
Nelnet is committed to providing a welcoming and respectful workplace where all associates have the opportunity to succeed. As an Equal Opportunity Employer, we ensure that all qualified applicants are considered for employment. Employment decisions are made without regard to race, color, religion/creed, national origin, gender, sex, marital status, age, disability, use of a guide dog or service animal, sexual orientation, military/veteran status, or any other status protected by federal, state, or local law. We value the unique contributions of every team member and believe that a positive work environment benefits everyone.
Qualified individuals with disabilities who require reasonable accommodations in order to apply or compete for positions at Nelnet may request such accommodations by contacting Corporate Recruiting at or .
Nelnet is a Drug Free and Tobacco Free Workplace.
You may know Nelnet as the nation's largest student loan servicer - but we do more than that. _A lot more._ We're also a professional services company, consumer loan originator and servicer, payment processor, renewable energy innovator, and K-12 and higher education expert (and that's just a shortlist). For over 40 years, we've been serving our customers, associates, and communities to make dreams possible.
EEO Info ( | EEO Letter ( | EPPA Info ( | FMLA Info (

Nelnet is a diversified and innovative company committed to enriching lives through the power of service as a student loan servicer, professional services company, consumer loan originator and servicer, payments processor, renewable energy solutions, and K-12 and higher education expert. For over 40 years, Nelnet has been serving its customers, associates, and communities.
The perks of working at Nelnet go beyond our benefits package. When you join the Nelnet team, you're part of a community invested in the success of each individual. That support comes through in our work, as we are united by our mission of creating opportunities for people where they live, learn, and work.
The Chief Compliance Officer ("CCO") is a consumer advocate with the primary focus of protecting the end consumer and customer. The CCO will ensure the development and maintenance of a strong compliance management program through strict adherence with applicable consumer protection laws, regulations, Congressional directives and best practices that govern the Company and its products and services. The CCO will ensure consumer requests, CFPB Complaint Portal postings, and other borrower/consumer complaint/inquiry issues are properly managed and appropriate actions are taken to correct identified concerns. This position will provide the means to communicate compliance and regulatory changes, oversee compliance training for all associates and board members, and administer Corporate Policies. The CCO will periodically update executive management, management committees and the Board Compliance and Risk Committee on compliance and regulatory matters. This position will be particularly focused on the unique facets of a start-up bank including the bank readiness exam and related regulatory interactions, operational preparation and execution and other de novo implications such as policy and procedural development/review and training.
- Maintain extensive knowledge and understanding of consumer protection laws, regulations, Congressional directives and industry best practices - Understand business segment and operation products and services and keep abreast of changes (new products, services or business practices) - Provide recurring reports of compliance risks, issues and resolutions to executive management, management committees and a committee of the Board - Develop and manage bank policies and procedures and ensure compliance with consumer protection laws and regulations - Train the Board, management and employees in consumer protection laws and regulations - Evaluate emerging compliance issues or potential liabilities - Evaluate consumer complaints or business practices for trends that require corrective actions - Provide a vision, leadership and direction for the Bank's compliance management program. Ensure adequate staffing and resources are available to complete the bank's compliance requirements. Provide input and feedback to the performance management process of those compliance professionals who service the bank. - Provide policies and guidance related to consumer regulations and requirements - Maintain current knowledge of regulatory changes, trends within the industry, and regulator expectations - Manage, develop and support the compliance training function and staff, and coordinate compliance training within the company - Support the Company's strategy by ensuring the compliance of regulatory initiatives that include new policies, product development and marketing materials - Assist all functional departments in achieving strategic goals by providing regulatory counsel - Work directly with the Consumer Financial Protection Bureau (CFPB) as requested, Federal Deposit Insurance Corporation (FDIC), Utah Department of Financial Institutions and U.S. Department of Education (USDE) on consumer protection regulatory and compliance matters to clarify and interpret questions governing Nelnet practices, including coordination of a response to compliance program and other regulatory reviews and inquires - Coordinate and collaborate with Legal, Risk Management and Internal Audit to evaluate possible compliance issues or inquiries. Assist the Chief Risk Officer in developing the annual compliance work plan that reflects the company's highest risks that will be monitored by the compliance function as determined through risk assessments using an enterprise wide approach - Provide guidance and responses as part of the Risk and Compliance Communication Committee - Prepare, monitor, and oversee the budget in accordance with established formats and guidelines - Monitor customer surveys, correspondence and complaints, as well as, assessment, review and audit results for areas that require additional training and oversight - Maintain easy to use processes for associates to ask questions and receive answers related to the interpretation of regulations or policies - Escalate compliance concerns to the appropriate level of management based on potential risk exposure
**Note: This role is located onsite in our Draper, Utah location**
EDUCATION: Bachelor's or Master's degree required. Preferred fields of study: Business, Political Science, or Law Juris Doctor preferred
EXPERIENCE: - 10+ years in business, risk management, regulatory relations, compliance, or project management
- 10+ years leading, developing, and managing professional teams
- Certified Regulatory Compliance Manager required. Additional certifications a plus
- Experience in evaluating, interpreting, and communicating laws and regulations
- Working knowledge of consumer lending regulations, including but not limited to:
+ Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010
+ Unfair, Deceptive or Abusive Acts or Practices Act
+ Truth-In-Lending Act
+ Fair Credit Reporting Act
+ Fair Debt Collection Practices Act
+ Equal Credit Opportunity Act
+ Gramm-Leach-Bliley Act
+ E-Sign Act
+ Electronic Funds Transfer Act
COMPETENCIES - SKILLS/KNOWLEDGE/ABILITIES:
- Proven leadership, relationship, and personnel development skills.
- Excellent written and oral communication skills.
- Strong interpersonal, diplomatic, judgment, time management, and presentation skills.
- Ability to hire, retain, and lead a dynamic and independent team.
- Excellent strategic planning and analytical skills.
- Ability to prioritize and delegate projects.
- Reliable, dedicated and high level of integrity.
Our benefits package includes medical, dental, vision, HSA and FSA, generous earned time off, 401K/student loan repayment, life insurance & AD&D insurance, employee assistance program, employee stock purchase program, tuition reimbursement, performance-based incentive pay, short- and long-term disability, and a robust wellness program. Click here to learn more about our benefits: LINK ( .
Nelnet is committed to providing a welcoming and respectful workplace where all associates have the opportunity to succeed. As an Equal Opportunity Employer, we ensure that all qualified applicants are considered for employment. Employment decisions are made without regard to race, color, religion/creed, national origin, gender, sex, marital status, age, disability, use of a guide dog or service animal, sexual orientation, military/veteran status, or any other status protected by federal, state, or local law. We value the unique contributions of every team member and believe that a positive work environment benefits everyone.
Qualified individuals with disabilities who require reasonable accommodations in order to apply or compete for positions at Nelnet may request such accommodations by contacting Corporate Recruiting at or .
Nelnet is a Drug Free and Tobacco Free Workplace.
You may know Nelnet as the nation's largest student loan servicer - but we do more than that. _A lot more._ We're also a professional services company, consumer loan originator and servicer, payment processor, renewable energy innovator, and K-12 and higher education expert (and that's just a shortlist). For over 40 years, we've been serving our customers, associates, and communities to make dreams possible.
EEO Info ( | EEO Letter ( | EPPA Info ( | FMLA Info (

Description
The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division inclusive of affiliates engaged in Insurance and Securities business. The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the 1934 Securities Exchange Act. The Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance Framework.
Duties include but are not limited to:
+ Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities.
+ Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs.
+ Support the oversight and integration of affiliate Insurance activities into the overarching Compliance Program structure.
+ Proactively build relationships with regulators and act as the liaison for all broker-dealer regulatory inquiries and examinations.
+ Advise and collaborate with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance Program standards within the Enterprise Framework and stated Risk Appetite.
+ Facilitate regulatory change management for covered business lines within the Enterprise Risk Management Structure.
+ Facilitate the review and Drafting of Policies and Procedures to align with regulatory requirements and scope of business activities.
+ Review of marketing materials and client communications in alignment with regulatory expectations and policy requirements.
+ Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal.
Basic Qualifications:
+ Bachelor's degree
+ Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization.
+ 10+ years of progressively responsible compliance/securities industry experience required.
+ Series 7 and 24 with the ability to obtain within 6 months of hire.
Preferred Qualifications:
+ Experience or exposure to Swap Dealer Compliance programs.
+ Ability to work in a fast-paced environment with professionalism, courtesy and tact.
+ Excellent interpersonal, oral and written communication skills.
+ Excellent critical thinking and problem-solving skills
#LI-MM1
#LI-Onsite
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Applications Accepted Through:
11/03/2025
Huntington expects to accept applications through at least the date above, and may continue to accept applications until the position is filled.
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.
Compensation Range:
$260,000 - $300,000
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance.  Colleagues in this position are also eligible to participate in an applicable incentive compensation plan.  In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
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.

Description
The Huntington Capital Markets Enterprise Compliance Risk Director Senior will play a critical role in the execution and implementation of the Compliance Program for Huntington's Investment Banking Broker Dealers and Huntington's Wealth Management Division inclusive of affiliates engaged in Insurance and Securities business. The successful candidate will have knowledge of investment banking and capital markets compliance requirements including relevant FINRA, SEC, OCC and MSRB rules and regulations with emphasis on Regulation 9, the 1940 Investment Advisors Act and the 1934 Securities Exchange Act. The Director oversees a team of experienced Compliance Professionals and partners with senior leaders to ensure there is effective governance and controls that operate within the enterprise Compliance Framework.
Duties include but are not limited to:
+ Oversee the Huntington Financial Advisors (HFA), Huntington Securities Incorporated (HSI), and Capstone Partners broker-dealer compliance program functions including implementation of written supervisory procedures, training, testing, information barriers, surveillance and AML compliance with a focus on Investment Banking, Public Finance, M&A as well as Sales and Trading activities.
+ Oversight and Governance of OCC Rules specific to the Wealth Management Compliance Program with a focus on Regulation 9 and RNDIP Programs.
+ Support the oversight and integration of affiliate Insurance activities into the overarching Compliance Program structure.
+ Proactively build relationships with regulators and act as the liaison for all broker-dealer regulatory inquiries and examinations.
+ Advise and collaborate with the Business, Legal and Risk partners across the Commercial and Consumer segments to achieve Compliance Program standards within the Enterprise Framework and stated Risk Appetite.
+ Facilitate regulatory change management for covered business lines within the Enterprise Risk Management Structure.
+ Facilitate the review and Drafting of Policies and Procedures to align with regulatory requirements and scope of business activities.
+ Review of marketing materials and client communications in alignment with regulatory expectations and policy requirements.
+ Establish effective relationships with the business and partners throughout Huntington, including Risk, Internal Audit, and Legal.
Basic Qualifications:
+ Bachelor's degree
+ Experience as broker dealer Chief Compliance Officer or lead compliance director for investment banking/M&A at like size or larger organization.
+ 10+ years of progressively responsible compliance/securities industry experience required.
+ Series 7 and 24 with the ability to obtain within 6 months of hire.
Preferred Qualifications:
+ Experience or exposure to Swap Dealer Compliance programs.
+ Ability to work in a fast-paced environment with professionalism, courtesy and tact.
+ Excellent interpersonal, oral and written communication skills.
+ Excellent critical thinking and problem-solving skills
#LI-MM1
#LI-Onsite
Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay)
Yes
Applications Accepted Through:
11/03/2025
Huntington expects to accept applications through at least the date above, and may continue to accept applications until the position is filled.
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.
Compensation Range:
$260,000 - $300,000
The compensation range represents the low and high end of the base compensation range for this position. Actual compensation will vary and may be above or below the range based on various factors including but not limited to location, experience, and performance.  Colleagues in this position are also eligible to participate in an applicable incentive compensation plan.  In addition, Huntington provides a variety of benefits to colleagues, including health insurance coverage, wellness program, life and disability insurance, retirement savings plan, paid leave programs, paid holidays and paid time off (PTO).
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.