Description

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GENERAL FUNCTION:
Leads in the identification and assessments of risk and execution of procedures to evaluate Fifth Third Securities' ("FTS") compliance with securities laws, industry regulations and industry standards. Develops and executes strategies for closing gaps in performance. Works mostly self-directed, with minimal supervisory oversight. Also works with department and cross-department teams.
Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concerns, and personally following policies and procedures as defined. Accountable for always doing the right thing for customers and colleagues, and ensures that actions and behaviors drive a positive customer experience. While operating within FTS' risk appetite, achieves results by constantly identifying, assessing, managing, monitoring and reporting risks of all types.

ESSENTIAL DUTIES AND RESPONSIBILITIES
• Reviews marketing and advertising materials used by FTS for adherence to industry regulations and FTS policies and procedures.
• Reviews, approves (when applicable) and assists with the record retention of marketing and advertising for FTS.
• Establishes strong working relationships with business lines throughout FTS and the Bancorp.
• Remains abreast of changes to industry regulations and updates FTS' policies and procedures as necessary.
• Identifies emerging risk issues and recommends solutions based on subject matter expertise.
• Actively participates and shares ideas as a member of the FTS Compliance Team.
• Functions as a dedicated resource to business partners for industry regulations concerning marketing and advertising.
• Accountable for assignments given by Manager.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:
• Education: Bachelor's degree or equivalent work experience required.
• Excellent oral and written communication skills. Effectively communicate upward, downward and laterally. Displays a positive business presence with management and external contacts.
• Computer/Technical: Demonstrates working or functional proficiency sufficient to apply to the use of software applications (Microsoft Office Suite) without assistance and minimal supervision.
• 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, databases, etc.)
• Advances understanding of securities industry and securities and investments, business lines, Affiliate structure and operations, and Corporate support organizations. Including, the FTS' management teams and decision-making operations.
• Understanding of SEC and FINRA Rules and regulations, with an emphasis on FINRA Rule 2210.
Classification: Internal Use
• Must be able to demonstrate sound judgement and apply logical and critical thought processes when developing and recommending solutions.
LICENSING REQUIREMENTS
SIE, Series 7, 24, and 63/65 or 66
Series 4, 53, and Life, Health & Variable Annuity Insurance licensed (preferred

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Compliance Officer I-Fifth Third Securities-Chicago, Charlotte, or Cincinnati

LOCATION -- Cincinnati, Ohio 45202

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.