Licensed Investment Support Specialist II
About The Position
The Licensed Investment Support Specialist II provides office management and administrative support to registered securities representatives, such as Investment Executives and Wealth Management Advisors. The role supports representatives and clients with account operations, trading, risk management, marketing, and other administrative duties. It also works with banking and private bank partners to maintain and deepen client relationships, identify opportunities, and support onboarding. The position is accountable for following policies and procedures, managing risk, and helping provide a positive customer experience. This role is based in a normal office environment with little exposure to dust, noise, temperature, and similar conditions. The stated annual base pay range is $45,100 to $85,600, with eligibility to participate in an incentive compensation plan. Fifth Third describes its benefits as comprehensive and designed to support employees’ physical, financial, emotional, and social well-being, but does not enumerate specific benefits in the posting.
Requirements
- High school diploma or equivalent.
- Securities Industry Essentials (SIE), Series 7, and Series 66 (or Series 65 and 63) licenses, plus 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 preferred.
- Prior brokerage experience preferred.
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 operational duties related to new and existing accounts, risk management, marketing support, and order entry.
- Perform account maintenance, including opening accounts, processing money transfers, executing orders, and changing addresses.
- 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.
- Identify, assess, manage, monitor, and report risks while following bank policies and procedures and supporting a positive customer experience.
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
Mid Level
Education Level
High school or GED
