Principal Review Specialist

Responsibilities

• Approve or reject business processes including rollovers, securities, and insurance transactions
• Ensure transactions conform to regulatory requirements and industry standards
• Determine if recommended transactions are suitable and in the best interest of the client
• Review variable insurance products, fixed annuities, stocks, ETFs, mutual funds, and bonds
• Assist with regulatory exams and maintain department procedure manuals
• Partner with Compliance, Brokerage Operations, and Technology leaders to optimize sales supervision
• Conduct business practice reviews to identify irregular trading activity

Requirements

• High school diploma or equivalent (Bachelors in Finance or Economics preferred)
• 2 years of brokerage or related work experience
• Series 7, 63, and 24 licenses required
• Knowledge of FINRA, SEC, MSRB, and State Securities rules
• Familiarity with National Financial Services and FIS Protegent Prosurv systems preferred

About the Company

Fifth Third is a bank that has been helping individuals, families, businesses, and communities grow through smart financial services since 1858.