Licensed Investment Support Specialist II
Company: Fifth Third Bank
Location: Bonita Springs
Posted on: January 13, 2023
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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
- Provide daily administrative support to designated registered
representatives, and existing and potential clients.
- Provide guidance to the banking center partners as
- 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,
- 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
- 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
- Help with onboarding of Investment Executives, Wealth
Management Advisors, or Licensed Investment Support Specialists as
- Perform other projects or duties as assigned.SUPERVISORY
RESPONSIBILITIES: None.MINIMUM KNOWLEDGE, SKILLS AND ABILITIES
- 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
- Five (5) years of brokerage or related financial services
- Excellent understanding of the financial industry, compliance
regulations, daily operational duties and investment
brokerage/banking products. Prior Brokerage experience
- Excellent communication and organizational skills.
- Must be able to work independently with limited
- 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
- 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.#LI-JS1Licensed Investment Support
Specialist IILOCATION -- Bonita Springs, Florida 34135Fifth 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.
Keywords: Fifth Third Bank, Bonita Springs , Licensed Investment Support Specialist II, Other , Bonita Springs, Florida
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