Fifth Third Bank Regional Compliance Officer in Indianapolis, Indiana

Fifth Third Bank is one of the top-performing banks in the country, with a heritage that spans more than 150 years. As The curious bank, we've staked our claim on looking at things differently, at being better listeners and at showing more commitment. This applies to our relationships with customers and employees alike.

We employ about 19,000 people, and what we offer is:

  • A chance for employees to build their future, with supportive career development and financial wellness programs.

  • An environment where we win together. We celebrate achievement and work collaboratively. We're also a two-time Gallup Great Workplace honoree.

  • An invitation to impact lives in a positive and lasting way. Everything we do is geared toward improving lives. That's fun and exciting.

It comes down to the fact that Fifth Third is a warm and caring place to with which to grow # as a customer or as a team member.

Enterprise Risk Management (ERM) is the process of identifying, quantifying and managing the risks that an organization faces while applying it to the overall Bank Strategy. While it is impossible to remove all risk from the organization effective risk management requires a strong risk culture and risk governance. Risk culture is the system of values and behaviors within the organization that shapes the day-to-day decisions that we all make. Developing a risk culture is a continuous process # it is consistent with, and builds upon, our Core Values, Leadership Competencies, and Code of Business Conduct and Ethics in that it is based on a common understanding that managing risk is everyone's responsibility and creates an environment that encourages the open exchange of ideas, willingness to elevate concerns, and a commitment to "doing the right thing." As such, risk culture is a critical element of the Bank's risk management efforts.

Regional Compliance Officer

GENERAL FUNCTION:

The Regional Compliance Officer will conduct and evaluate branch audits, as well as review and/or approve communications with the public, not considered correspondence. They will facilitate collaborative alliances with the affiliate Senior Sales Managers, Area Sales Managers, Program Development Managers and Regional Supervisory Principals in the markets that they cover to ensure full compliance with corporate policies and industry regulations and will handle escalated client communication, problem solving and resolution when needed. The Regional Compliance Officers will assist the Securities Compliance in the development and implementation of the Broker-Dealer and Investment Advisor regulatory compliance program. This position will function in an independent environment and will report to a Senior Regional Compliance Officer.

DUTIES & RESPONSIBILITIES:

  • Conduct annual branch office audits

  • Work with the Compliance Department in providing research and client communication regarding written and verbal complaints..

  • Work with the Compliance Department to review and approve communications with the public that are not considered correspondence.

Assist the Compliance Department to ensure the implementation of an effective compliance program. Actively promote a solution-oriented environment.

  • Maintain a cutting edge awareness of company goals, regulatory and legislative developments, and industry trends.

  • Maintain examiner relationships with the SEC and FINRA, and assist with regulatory examinations and internal audits.

Handle various projects as needed.

SUPERVISORY RESPONSIBILITIES:

None.

Experience

Fifth Third Bank 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.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

  • 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 24, and Series 66 are required. Life and Health Insurance preferred.

  • Demonstrate the ability to simplify and communicate complex financial concepts.

  • Strong knowledge of the securities business, investment products, and securities rules and laws.

  • Work requires excellent organizational skills and the ability to multi-task and to be flexible.

  • Excellent time management skills.

  • Ability to negotiate and collaborate with others, initiate action, adapt to change, make difficult decisions, and accept challenging assignments.