Licensed Investment Support Specialist II

Fifth Third Bank • Charlotte, NC

1d • Onsite

About The Position

The Licensed Investment Support Specialist II provides office management and daily administrative support to registered securities representatives, such as Investment Executives and Wealth Management Advisors, as well as existing and prospective clients. The role supports account operations, risk management, marketing, order entry, trading activity, and client relationship development. It may support multiple representatives or representatives with very large books of business.

The specialist is accountable for managing risk in accordance with the Bank’s policies and risk appetite, supporting positive customer experiences, and ensuring trading activity and documentation comply with applicable federal and internal requirements. The role also works with banking center and Private Bank partners to identify opportunities, deepen client relationships, and support onboarding as requested.

This position is based in a normal office environment in Charlotte, North Carolina. Fifth Third describes its Total Rewards as including comprehensive benefits and differentiated compensation. The role is eligible for an incentive compensation plan, with payment based on company, line-of-business, and/or individual performance.

Requirements

• High school diploma or equivalent.
• Securities Industry Essentials (SIE), Series 7, Series 66 (or Series 65 and 63), and appropriate state resident insurance licenses for Life, Health, Long Term Care, and Variable Annuity certification, as documented in 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 and 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, processing money transfer requests, executing orders, and making 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 clients’ 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.
• Help onboard Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.
• Perform other projects or duties as assigned.
• Identify, assess, manage, monitor, and report risks, and follow applicable policies and procedures.

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 payment based on company, line-of-business, and/or individual performance.

What This Job Offers

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