Compliance Specialist Sr. at Fifth Third Bank, National Association — Cincinnati, OH

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.

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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

Compliance Specialist Sr.

LOCATION -- Cincinnati, Ohio 45202