Remote Compliance Finra Jobs in Indiana (NOW HIRING)

Description Summary: The Regional Manager - HFA & Preferred Banking is a strategic leadership role responsible for managing a team of Licensed Preferred Bankers and Financial Advisors across a Retail Banking branch network. This role oversees regional sales activities, regulatory compliance, operational execution, and client relationship management, ensuring delivery of comprehensive financial solutions including planning, advisory, brokerage, and insurance services. The manager fosters collaboration across business lines and drives performance through coaching, development, and strategic direction.

Duties and Responsibilities: Lead, motivate, and develop a high-performing team of Licensed Preferred Bankers and Financial Advisors through coaching, mentoring, and goal setting. Oversee regional sales strategies and ensure alignment with corporate objectives and client needs. Ensure compliance with all regulatory requirements and internal policies, maintaining a strong risk management culture.

Partner with internal stakeholders (Branch, Mortgage, Business Banking, Private Bank, etc.) to deepen client relationships and expand business opportunities. Actively recruit, onboard, and retain top talent in the financial services industry. Lead regional mass affluent banker and financial advisor expansion in alignment with retail branch, regional banking and wealth management growth

Provide legendary customer service and ensure all client interactions are suitable and in the client's best interest. Manage operational effectiveness of advisors and support staff, including Sales Support Managers and Client Relationship Specialists. Communicate strategic direction and program updates to executive leadership and cross-functional teams.

Supervise 20-30 FINRA registered representatives and associated support staff. Coordinate sales efforts with branch, OCR partners, and private bank regional leadership. Address and resolve customer complaints and escalate when necessary.

Maintain current knowledge of financial instruments, industry trends, and risk-related changes. Performs other duties as assigned. Basic Qualifications: Bachelor's Degree 5+ years of experience in the securities or banking industry.

3+ years of experience managing a team. Active Life and Health Insurance Licenses. FINRA Licenses: Series 7, 63/65 or 66, 24 Preferred Qualifications: Previous experience managing a team of Financial Advisors and/or Licensed Bankers Strong leadership, communication, and strategic planning skills.

Proven ability to drive sales performance and ensure compliance. Exempt Status: (Yes = not eligible for overtime pay) (No = eligible for overtime pay) Yes 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 is an Equal Opportunity Employer. Tobacco-Free Hiring Practice: Visit Huntington's Career Web Site for more details. Note to Agency Recruiters: Huntington Bank will not pay a fee for any placement resulting from the receipt of an unsolicited resume.

All unsolicited resumes sent to any Huntington Bank colleagues, directly or indirectly, will be considered Huntington Bank property. Recruiting agencies must have a valid, written and fully executed Master Service Agreement and Statement of Work for consideration. Apply.