Licensed Investment Support Specialist II

Fifth Third; Charlotte (NC); Presencial; USD 65 000 - 90 000; Tempo integral

Resumo da oferta

Fifth Third Bank is seeking a Licensed Investment Support Specialist II to provide daily administrative support for registered representatives and clients. You will process accounts, trades, and onboarding tasks while ensuring compliance and timely execution of operations.

Ideal candidates have a five-year background in brokerage or related financial services, with required licenses and strong communication and organizational skills.

Qualificações

• Requires SIE, Series 7, 66 (or 65 and 63) licenses as per guidelines.
• Minimum five years of brokerage or related financial services experience.
• Strong understanding of the financial industry and compliance regulations.
• Excellent communication and organizational skills; able to work independently.

Responsabilidades

• Provide daily admin support to designated registered representatives and clients.
• Process and follow-up on account openings, transfers, and trading operations.
• Educate business partners on market conditions, compliance and operational duties.
• Support multiple representatives or large books of business.
• Ensure trading activity complies with regulations and internal guidelines.

Conhecimentos

Communication

Organizational skills

Time management

Independent working

Negotiation

Formação académica

Bachelor's degree in Finance, Economics, or Business Management

Ferramentas

Microsoft Word

Microsoft Excel

PowerPoint

Descrição da oferta de emprego

Make banking a Fifth Third better® We connect great people to great opportunities. Are you ready to take the next step? Discover a career in banking at Fifth Third Bank.

GENERAL FUNCTION:

The Licensed Investment Support Specialist II provides office management support for registered securities representatives (e.g., Investment Executives, or Wealth Management Advisors). 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 the Bank's risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Provide daily administrative support to designated registered representatives, and existing and potential clients.
• Provide guidance to the banking center partners as requested.
• Process and follow-up operations duties linked to new/existing accounts, risk management, marketing support, order entry etc.
• Perform account maintenance including opening new accounts, money transfer requests, executing orders, address changes, etc.
• Ensure that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards.
• Maintain close contact with clients in order to ensure that they are informed about industry changes while deepening the relationship and serving the best interest of the client.
• Educate and coach business partners on current market conditions, products, compliance and operational duties.
• Support multiple registered securities representatives or representatives with very large books of business.
• Handle various administrative functions for the registered securities representatives including but not limited to executing trades.
• Ensure that all trading activity complies with federal and internal compliance regulations and guidelines.
• Work closely with Banking Center or Private Bank partners to identify new client opportunities and deepen existing client relationships.
• Help with onboarding of Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.
• Perform other projects or duties as assigned.

SUPERVISORY RESPONSIBILITIES:

None.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

• High school diploma or equivalent.
• Bachelors degree in Finance, Economics, or Business Management preferred.
• Securities Industry Essentials (SIE), Series 7, 66 (or 65 and 63), appropriate state resident insurance licenses for Life, Health, Long Term Care, and Variable Annuity certification are required as documented in the Fifth Third Securities Licensing Guidelines.
• Five (5) years of brokerage or related financial services experience.
• Excellent understanding of the financial industry, compliance regulations, daily operational duties and investment brokerage/banking products.
• Prior Brokerage experience preferred.
• Excellent communication and organizational skills.
• Must be able to work independently with limited supervision.
• Must be able to prioritize and effectively manage multiple tasks at once.
• Intermediate computer skills with demonstrated knowledge of Microsoft Word, Excel, and Power Point.
• Strong verbal and written communication and negotiation skills.
• Ability to meet deadlines under pressure utilizing excellent time management skills.

WORKING CONDITIONS:

Normal office environment with little exposure to dust, noise, temperature and the like.

BENEFITS & COMPENSATION:

• Our Total Rewards include comprehensive benefits and differentiated compensation offerings to give each employee the opportunity to be their best every day.
• The base salary for this position is reflective of the range of salary levels for all roles within this pay grade across the U.S. Individual salaries within this range will vary based on factors such as role, relevant skillset, relevant experience, education and geographic location.
• In addition to the base salary, this role is eligible to participate in an incentive compensation plan, with any such payment based upon company, line of business and/or individual performance.
• Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and social well-being. You can learn more about those programs on our 53.com Careers page at: https://www.53.com/content/fifth-third/en/careers/benefits.html or by consulting with your talent acquisition partner.

LOCATION:

Charlotte, North Carolina 28202

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.

Fifth Third is a bank that’s as long on innovation as it is on history. Since 1858, we’ve been helping individuals, families, businesses and communities grow through smart financial services that improve lives. With a commitment to taking care of our customers, employees, communities and shareholders, our goal is not only to be the nation’s highest performing regional bank, but to be the bank people most value and trust.