Employment Type:  Regular

Full/Part Time:  Full-time

Division:  Division Legal & Compliance

Job Description:  GENERAL FUNCTION:  Responsible for compliance approval, review and revision of sales literature, presentations and advertisements for Fifth Third Securities [but not initial creation of materials] ESSENTIAL DUTIES & RESPONSIBILITIES:  * Provides input to all securities personnel for the Bancorp to ensure consistent and accurate compliance with regulations. Reviews training materials and provides feedback to bank training personnel for assigned areas of responsibility.  * Provides analysis and reporting for assigned area of responsibility to monitor adherence to the laws and regulations. Provide support in developing systems for required reports and coordinates development with Data Processing regarding implementation and refinements of system. Tracks monitoring schedules and prepares reporting and analysis of all findings for review by Bancorp Compliance Manager. Creates updates and distributes centralized documentation to affiliates (forms, policies, etc.).  * Addresses and corrects issues raised in all audits and exams.  * Provides guidance and direction to less experienced compliance specialists.

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MINIMUM KNOWLEDGE SKILLS AND ABILITIES:Education:  Minimum of a high school diploma required; Bachelors Degree preferred.  Series 24 license required.  Person in this role is expected to obtain life insurance license if not already licensed. Experience:  Strong understanding of the brokerage industry required.  Must possess the ability to work with people in a positive professional mannerComputer/Technical:  Computer skills must consist of PC based packages such as Excel and Word. Strong organizational skills required.

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