5/3 Jobs – Licensed Invest Support

Job Description:

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.

Job Responsibilities:

• Ensure that all assigned trading transactions are executed in a timely and accurate manner, and that all documentation is maintained to standards
• Support multiple registered securities representatives or representatives with very large books of business.
• Process and follow-up operations duties linked to new/existing accounts, risk management, marketing support, order entry etc.
• Provide daily administrative support to designated registered representatives, and existing and potential clients.
• 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.
• Provide guidance to the banking center partners as requested.
• 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.
• Perform account maintenance including opening new accounts, money transfer requests, executing orders, address changes, etc.
• Help with onboarding of Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.
• Educate and coach business partners on current market conditions, products, compliance and operational duties.
• Handle various administrative functions for the registered securities representatives including but not limited to executing trades.

Job Requirements:

• 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.
• Must be able to work independently with limited supervision.
• Intermediate computer skills with demonstrated knowledge of Microsoft Word, Excel, and Power Point.
• Five (5) years of brokerage or related financial services experience.
• Must be able to prioritize and effectively manage multiple tasks at once.
• Excellent understanding of the financial industry, compliance regulations, daily operational duties and investment brokerage/banking products. Prior Brokerage experience preferred.
• Ability to meet deadlines under pressure utilizing excellent time management skills.
• Strong verbal and written communication and negotiation skills.
• Excellent communication and organizational skills.

Job Details:

Company: Fifth Third Bank

Vacancy Type: Part Time

Job Location: Cleveland, OH, US

Application Deadline: N/A

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