Compliance Specialist Sr.

Compliance Specialist Sr.

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Job Title: Compliance Specialist, Sr.

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

Essential Duties and 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.

Minimum Knowledge & Skills Required:

• Minimum of high school diploma or equivalent. Some college strongly desired.
• 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.

Working Conditions:

• Normal office environment with little exposure to dust, noise, temperature and the like.
• Extended viewing of a CRT screen.
• Repetitive use of the keyboard

At Fifth Third, we understand the importance of recognizing our employees for the role they play in improving the lives of our customers, communities and each other. Our Total Rewards include comprehensive benefits and differentiated compensation offerings to give each employee the opportunity to be their best every day.

The base salary for this position is reflective of the range of salary levels for all roles within this pay grade across the U.S. Individual salaries within this range will vary based on factors such as role, relevant skillset, relevant experience, education and geographic location.

Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and social well-being. You can learn more about those programs on our 53.com Careers page or by consulting with your talent acquisition partner.

Location -- Cincinnati, Ohio 45202

Fifth Third Bank, National Association is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.