Licensed Investment Support Specialist II
About The Position
The Licensed Investment Support Specialist II provides office management and administrative support to registered securities representatives, including Investment Executives and Wealth Management Advisors, as well as existing and potential clients. The role supports account operations, risk management, marketing, order entry, and trading activity while ensuring accurate documentation and compliance with applicable federal and internal requirements. The specialist works with banking center and Private Bank partners to support client relationships and identify opportunities, and may assist with onboarding representatives and other support specialists. The role is accountable for identifying, managing, monitoring, and reporting risks while following the Bank’s policies and supporting a positive customer experience.
Requirements
- High school diploma or equivalent.
- Securities Industry Essentials (SIE), Series 7, Series 66 (or Series 65 and 63), appropriate state resident insurance licenses for Life, Health, and Long Term Care, and Variable Annuity certification, as documented in the Fifth Third Securities Licensing Guidelines.
- Five years of brokerage or related financial services experience.
- Excellent understanding of the financial industry, compliance regulations, daily operational duties, and investment brokerage and banking products.
- Excellent communication and organizational skills.
- Ability to work independently with limited supervision.
- Ability to prioritize and effectively manage multiple tasks at once.
- Intermediate computer skills, including demonstrated knowledge of Microsoft Word, Excel, and PowerPoint.
- Strong verbal and written communication and negotiation skills.
- Ability to meet deadlines under pressure using excellent time management skills.
Nice To Haves
- Bachelor’s degree in Finance, Economics, or Business Management.
- Prior brokerage experience.
Responsibilities
- Provide daily administrative support to designated registered representatives and existing and potential clients.
- Provide guidance to banking center partners as requested.
- Process and follow up on operations duties related to new and existing accounts, risk management, marketing support, and order entry.
- Perform account maintenance, including opening accounts, handling money transfer requests, executing orders, and processing address changes.
- Ensure assigned trading transactions are executed accurately and on time, and maintain documentation to required standards.
- Maintain close contact with clients to inform them about industry changes, deepen relationships, and serve their best interests.
- Educate and coach business partners on market conditions, products, compliance, and operational duties.
- Support multiple registered securities representatives or representatives with very large books of business.
- Handle administrative functions for registered securities representatives, including executing trades.
- Ensure trading activity complies with federal and internal compliance regulations and guidelines.
- Work with Banking Center or Private Bank partners to identify new client opportunities and deepen existing client relationships.
- Assist with onboarding Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.
- Perform other projects or duties as assigned.
Benefits
- Comprehensive benefits programs designed to support employees’ and their families’ physical, financial, emotional, and social well-being.
- Eligibility to participate in an incentive compensation plan, with payments based on company, line of business, and/or individual performance.
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What This Job Offers
Job Type
Full-time
Career Level
Mid Level
Education Level
High school or GED
