Compliance Specialist Sr.

Fifth Third Bank•Cincinnati, OH

4d•Onsite

About The Position

Work within FTS Compliance to facilitate the securities registration process. Independently review, reconcile and report information to FINRA to ensure compliance with industry regulations.

Requirements

Minimum of high school diploma or equivalent.
Two to or more years prior work experience in compliance or financial related field.
Possess good organizational skills and attention to detail.
Ability to communicate well with compliance staff and personnel outside the department.
Ability to work with large amounts of confidential data.
Ability to work independently and meet deadlines.
Proficient in Microsoft Office.

Nice To Haves

Some college strongly desired.

Responsibilities

Work with business partners, LOB employees, and vendors to complete required documentation to initiate the securities registration process.
Review documentation to ensure completeness and work with employees to resolve any inaccuracies.
Process securities registration and branch filings using the FINRA Gateway system.
Escalate confidential matters to management and HR as necessary.
Act as a resource for questions regarding the securities registration, licensing and fingerprinting processes.
Monitor and analyze trends and fluctuations and make recommendations to implement process improvements.
Develop and maintain appropriate business relationships with internal and external customers.
Maintain accurate tracking records and provide requested information upon request.
Perform other duties as assigned.