Compliance Officer I-Fifth Third Securities Onsite/Remote
Company: Fifth Third Bank, N.A.
Location: Charlotte
Posted on: May 16, 2022
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Job Description:
Make banking a Fifth Third better -We connect great people to
great opportunities. Are you ready to take the next step? Discover
a career in banking at Fifth Third Bank. GENERAL FUNCTION: To
identify and assess risks and the execution of procedures to
evaluate Fifth Third Securities' compliance with rules and
regulations of Financial Industry Regulatory Authority (FINRA),
U.S. Securities and Exchange Commission (SEC), state laws, and
industry standards, as well as the Bancorp's policies and
procedures. Works to seek process improvements, assess compliance
functions, procedures and approaches, including the results of
monitoring and testing functions, and enhance existing controls in
coordination with the line of business. The Compliance Officer I
will assist in development plans and implementation of new
regulatory requirements and industry best practices. This position
will work within department and cross-department teams. Responsible
and accountable for risk by openly exchanging ideas and opinions,
elevating concerns, and personally following policies and
procedures as defined. Accountable for always doing the right thing
for customers and colleagues, and ensures that actions and
behaviors drive a positive customer experience. While operating
within the Banks risk appetite, achieves results by consistently
identifying, assessing, managing, monitoring, and reporting risks
of all types.ESSENTIAL DUTIES AND RESPONSIBILITIES: -Participates
in the analysis of policies and procedures, strategic priorities,
external influences, current regulatory focuses, and previous
examination findings, as it relates to Compliance issues and risks.
-Maintain a cutting edge awareness of company goals, regulatory and
legislative developments, and industry trends. -Assist with
regulatory examinations. -Analyzes data by numerous delivery
channels, geographic area, product types, facility, and even
employee or officer to identify risks and develop and recommend
scope or target for the review, corrective action/or performance
gap closure. Develops and executes strategies for closing gap in
performance. -Assess the adequacy of the business
units'/affiliate's recommended corrective action to the issues or
gaps identified. -Develops and report's findings to Senior
Management regarding their business lines (Legal, Audit, and Senior
level Operating Committees). -Participates and/or leads regular
meetings with peers to build and maintain know ledge of current and
emerging issues and risk in the environment -Recommend protocols
for compliance testing. -Contribute updates to the compliance risk
assessment. -Reviews reporting from the Councils for use by the
Regulatory Change Management Committee. - SUPERVISORY
RESPONSIBILITIES: None.MINIMUM KNOWLEDGE, SKILLS AND ABILITIES
REQUIRED: -Education: Bachelor' s degree in Business
Administration, Finance or related field or equivalent work
experience. -Minimum 5 years of sales supervision, representative
supervision, or compliance experience within the brokerage industry
and/or investment advisory industry. -FINRA Series 7, Series 66,
and Series 24 are required. -Computer/Technical: Demonstrates
working or functional proficiency sufficient to apply the use of
software applications (Micro-Soft Office Suite) without assistance
and minimal supervision. -Able to understand and conceptualize
basic statistical analysis and theories. With solid experience in
manipulating (validating, correcting, reformatting, and
transforming) data into more than one format, (e.g. spreadsheets,
flat files, data bases, etc.). Strong analytical skills required to
gather, assess and present quantitative and qualitative data.
-Ability to negotiate and collaborate with others, initiate action,
adapt to change, make difficult decisions, and accept challenging
assignments. -Excellent oral and written communication skills.
Effectively communicates upward, downward and laterally. Display a
positive business presence with management and external contacts.
-Must be able to demonstrate sound judgment and apply logical and
critical thought Classification: Internal Use processes when
developing and recommending solutions#LI-JO1Compliance Officer
I-Fifth Third Securities Onsite/RemoteLOCATION -- Rosemont,
Illinois 60018 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.
Keywords: Fifth Third Bank, N.A., Charlotte , Compliance Officer I-Fifth Third Securities Onsite/Remote, Accounting, Auditing , Charlotte, North Carolina
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