Analyst - Capital Markets Transaction Oversight

Description

Summary:

The Analyst, Capital Markets Transaction Oversight supports the execution of governance and review activities across the lifecycle of capital markets transactions. This role is responsible for transaction-level coordination, documentation management, control support, and issue tracking to ensure adherence to established oversight frameworks, regulatory requirements, and escalate found issues to oversight leadership. Working under the direction of senior team members, the Associate plays a key role in maintaining consistent execution, strong documentation standards, and audit readiness across client and transaction onboarding, active transactions, deal file review, and transaction offboarding.

This role can be filled at the following Huntington offices: Chicago, Charlotte, or Columbus.

Duties and Responsibilities:

Oversee activities across client and transaction onboarding, active transactions, deal file review, and transaction offboarding.

Track transaction milestones, deliverables, and required approvals.

Ensure transactions meet established governance and documentation requirements.

Identify and escalate gaps or inconsistencies in transaction execution or documentation to oversight leadership.

Maintain transaction documentation, ensuring completeness, accuracy, and proper version control.

Execute defined controls and oversight procedures across the transaction lifecycle.

Validate required approvals, checklists, and documentation standards are met.

Filing audit-ready records supporting oversight activities.

Coordinate with business lines, transaction execution teams, and control functions to gather required information and documentation.

Support communication of requirements, timelines, and deliverables across stakeholders.

Assist in resolving routine issues and escalate more complex matters to senior team members.

Responsible for electronic communications review and escalation to supervisory principle via Global Relay compliance system.

Support audit and testing activities by compiling documentation and evidence.

Track and maintain logs of issues, findings, and remediation actions.

Assist with follow-up on remediation efforts to ensure timely resolution.

Help ensure documentation governance standards are consistently applied.

Follow established workflows, procedures, and oversight frameworks.

Identify opportunities to improve efficiency, documentation quality, and process consistency.

Support implementation of process enhancements and standardization efforts.

Contribute to maintaining tools, trackers, and reporting used by the oversight team.

Basic Qualifications:

Bachelor’s degree in finance, business, accounting, or related field.

1+ years of experience in financial services, capital markets, operations, or risk/control environments, related transaction systems, and CRM tools.

Preferred Qualifications:

FINRA Series 99, 79, or 52.

Experience supporting capital markets transaction-related activities.

Experience working in DealCloud, Box.com, Microsoft Office Suite.

Exposure to governance, risk, compliance, or audit processes.

Familiarity with financial documentation and transaction lifecycle workflows.

Solid understanding of documentation, processes, and transaction workflows.

Strong attention to detail and ability to manage documentation and processes accurately.

Organizational skills with ability to manage multiple priorities and deadlines.

Effective communication and collaboration skills.

#LI-ME1 #LI-Onsite

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.

Compensation Range:

The compensation range represents the anticipated low and high end of the base compensation range for this position. Actual compensation will vary based on various factors including but not limited to location, experience, and education. 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).

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.