FTS Corporate Banking and Capital Markets Licensing/Surveillance Officer
Fifth Third Securities, Inc.
Location: Remote
GENERAL FUNCTIONS:
This position has two primary functions: 1) monitors the status of securities licensing of new FTS Corporate Banking/Capital Markets Associated Persons who are required to obtain securities license(s) for the role the Associated Person is in. and 2) perform compliance reviews and testing over Corporate Banking and Capital Markets areas. Responsibilities include:
Coordinates the exam preparation, exam scheduling, and exam-related compliance requirements for licensed individual throughout Corporate Banking and Capital Markets lines of business.
Assists in development, expansion, revision, of licensing policies and guidelines.
Communicates with corresponding Line of Business Principal Supervisors regarding the status of outstanding securities license(s) with particular focus when a Corporate Banking or Capital Markets Associated Person is nearing the end of the prescribed time period for successfully passing the securities license.
Coordinate with HR Department when an individual in the Corporate Banking and Capital Markets lines of businesses has failed to successfully pass a required securities license(s) in the prescribed time period.
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.
Assist with regulatory examinations and internal audits.
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' recommended corrective action to the issues or gaps identified.
Develops and reports 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.
Requirements:
FINRA Series 7 and Series 63 are required. The Series 24 will be required within 90 days, and the Series 53 and Series 79 are preferred.
Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.
Must be able demonstrate sound judgment and apply logical and critical thought processes when developing and recommending solutions.
Ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions, and accept challenging assignments.
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.
Excellent oral and written communication skills. Effectively communicates upward, downward and laterally. Display a positive business presence with management and external contacts.
Base Pay Range: $65,000/yr. - $85,000/yr
Actual base salary may vary based upon, but not limited to, relevant experience, licensing and professional designations currently held, and geographic location. In addition to base salary, the compensation package may include, participation in an incentive programs linked to individual performance (e.g., annual variable compensation, merit increases).
To apply visit https://fifththird.wd5.myworkdayjobs.com/53careers and "FTS" in search bar.