Compliance Specialist Sr.

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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 and LOB employees to complete required documentation to initiate the securities registration process.
• Review documentation to ensure completeness and work with employees to resolve any inaccuracies.
• Process information using the FINRA CRD / RegEd systems.
• Escalate confidential matters to HR as necessary.
• Act as an employee resource for questions regarding the securities registration process.
• 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 any other duties as assigned.

SUPERVISORY RESPONSIBILITIES: None.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES 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

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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.