Make banking a Fifth Third better®

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　　GENERAL FUNCTION:

　　Supervises and performs brokerage and insurance regulatory required sales supervision functions for the broker-dealer and insurance agency subsidiaries of the bank.

　　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:

　　As a part of the overall supervision of the review process, approves or rejects a subset of business processes including rollovers, securities and / or insurance transactions for the broker-dealer, investment advisor and insurance agency.

　　In conjunction with the review process, determines whether transactions are in conformance with regulatory requirements, as well as firm and industry standards.

　　Responsible for the supervisory review of, follow-up, and approval/rejection of FTS option trades, applications and margin.

　　Responsible for the supervisory review of, follow-up, and approval/rejection of FTS managed money forms and investment re-allocations.

　　Performs Quality Control reviews of the specific PRD functions that report to them.

　　In conjunction with the review process, seeks additional information and related follow-up to evidence the review process, in conformance with requirements.

　　Supervises part of the Principal Review Desk (PRD) team, to include hiring, scheduling, coaching, and development.

　　Reviews new account applications for approval and related follow-up.

　　The sales supervision review process includes but is not limited to the following:

　　Reviews all variable insurance products and fixed annuities.

　　Reviews all other securities products that appear on the respective blotters.

　　Reviews cancel and re-bill transactions.

　　Reviews investment advisor account set-up and related transactions.

　　Works closely with the Compliance, Operations, Technology and Sales leaders in the organization to ensure a best-in-class sales supervision program.

　　Any and other duties as assigned by departmental supervisors or other leaders as appropriate.

　　SUPERVISORY RESPONSIBILITIES:

　　Leads a team of Compliance Specialists. Responsible for providing employees timely, candid and constructive performance feedback; developing employees to their fullest potential and provide challenging opportunities that enhance employee career growth; developing the appropriate talent pool to ensure adequate bench strength and succession planning; recognizing and rewarding employees for accomplishments.

　　MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

　　Minimum of a high school diploma. College degree preferred.

　　Typically requires a minimum of five to seven years of prior work experience in the brokerage industry.

　　Required Series 7, 24 and 66 (or 63 and 65). Strongly recommend Series 4 & 53 and Life/Health

　　Strong leadership, communications, organizational, and follow-up skills.

　　Strong people / relationship building skills.

　　Must possess the ability to navigate various brokerage computer systems.

　　#LI-JS1

　　Principal Review Specialist Supervisor

　　LOCATION -- Cincinnati, Ohio 45227

　　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.

　　Introduce yourself to our team to stay connected on future opportunities. We look forward to finding the right place for you. Are you ready to take the next step?

　　Fifth Third Bank, National Association is one of the top-performing banks in the country, with a history that spans more than 150 years. We’ve staked our claim on looking at things differently to make banking a Fifth Third better. This applies to our relationships with customers and employees alike.We employ about 18,000 people while offering:• A chance for employees to build their future, with supportive career development and comprehensive health and financial wellness programs.• An environment where we win together by celebrating achievements and working collaboratively.• An opportunity to make a difference in a positive and lasting way. Everything we do is geared toward improving lives.We’re proud that Fifth Third is a warm and caring place to grow – as a customer and as a team member.