Analyst - Capital Markets Transaction Oversight
About The Position
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.
Requirements
- 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.
Nice To Haves
- 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.
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.
Benefits
- health insurance coverage
- wellness program
- life and disability insurance
- retirement savings plan
- paid leave programs
- paid holidays
- paid time off (PTO)
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Entry Level
