Fifth Third Bancorp

2 days ago

Compliance Specialist Sr.

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 15 hours agoStatus: Live

Job Summary

Facilitate the securities registration process within FTS Compliance by independently reviewing, reconciling, and reporting information to FINRA to meet industry regulations. Partner with business teams, LOB employees, and vendors to gather and validate required documentation, process securities registration and branch filings via the FINRA Gateway system, escalate confidential issues when needed, and support process improvements through trend analysis.

Location: Cincinnati

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Work with business partners, LOB employees, and vendors to complete documentation needed to initiate the securities registration process.
•Review documentation for completeness and resolve inaccuracies with employees.
•Process securities registration and branch filings using the FINRA Gateway system.
•Escalate confidential matters to management and HR as necessary and act as a resource for securities registration, licensing, and fingerprinting questions.
•Monitor and analyze trends and fluctuations and recommend process improvements while maintaining accurate tracking records.

Key Requirements

•Minimum high school diploma or equivalent; some college strongly desired.
•2+ years of prior work experience in compliance or a financial-related field.
•Strong organizational skills and attention to detail.
•Ability to communicate effectively with compliance staff and personnel outside the department.
•Proficiency in Microsoft Office; ability to work with large amounts of confidential data and meet deadlines.

Experience:2+ yearsComplianceFinancial services

Education:High School

Skills:Organizational skillsAttention to detailCommunicationIndependent workConfidentiality

Tech Stack:Microsoft OfficeFINRA Gateway

Company Brief

Fifth Third Bancorp

Fifth Third Bancorp is a diversified bank holding company offering consumer, commercial, and wealth management services. Through its banking subsidiaries, it provides deposits, lending, treasury management, payments, and investment solutions across the Midwest and Southeast.

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Cincinnati, United States

Founded: 1858

Glassdoor: 3.7

Website LinkedIn Glassdoor

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Fifth Third Bancorp

2 days ago

Compliance Specialist Sr.

✓ Verified Job

Canonical indexed version, validated from employer's careers page.

Source: Company careers pageValidated by: Fursa AI

Last checked: 15 hours agoStatus: Live

Job Summary

Location: Cincinnati

Workplace: Onsite

Employment Type: Full time

Job Function: Legal, Risk & Compliance

Seniority: Mid level

Key Responsibilities

•Work with business partners, LOB employees, and vendors to complete documentation needed to initiate the securities registration process.
•Review documentation for completeness and resolve inaccuracies with employees.
•Process securities registration and branch filings using the FINRA Gateway system.
•Escalate confidential matters to management and HR as necessary and act as a resource for securities registration, licensing, and fingerprinting questions.
•Monitor and analyze trends and fluctuations and recommend process improvements while maintaining accurate tracking records.

Key Requirements

•Minimum high school diploma or equivalent; some college strongly desired.
•2+ years of prior work experience in compliance or a financial-related field.
•Strong organizational skills and attention to detail.
•Ability to communicate effectively with compliance staff and personnel outside the department.
•Proficiency in Microsoft Office; ability to work with large amounts of confidential data and meet deadlines.

Experience:2+ yearsComplianceFinancial services

Education:High School

Skills:Organizational skillsAttention to detailCommunicationIndependent workConfidentiality

Tech Stack:Microsoft OfficeFINRA Gateway

Company Brief

Fifth Third Bancorp

Industry: Banking

Company Size: Enterprise (1,001+ employees)

Revenue: USD 1B+

Growth: Public Company

Valuation: Public Company (Market Cap in USD)

Funding: IPO / Publicly Listed

Headquarters: Cincinnati, United States

Founded: 1858

Glassdoor: 3.7

Website LinkedIn Glassdoor