Compliance Specialist Sr.

Fifth Third Bank • Cincinnati, OH

2d • 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.

Benefits

• Comprehensive benefits and differentiated compensation offerings
• Extensive benefits programs designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and social well-being.

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: High school or GED