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GENERAL FUNCTION: The Regional Supervisory Manager will process and maintain affiliate Office of Supervisory Jurisdiction files, evaluate branch audit results, as well as serve as initial approver of incoming and outgoing correspondence and/or sales literature. They will provide regulatory guidance to the Senior Sales Managers and Area Sales Managers in assigned markets. This position will facilitate collaborative alliances with Securities Compliance to ensure full compliance with corporate policies and industry regulations and will handle escalated client communication, problem solving and resolution when needed, and collaborate on regulatory exam (FINRA, SEC and State) requests. Responsibilities include providing guidance, process improvement suggestions, best practices and leadership on issues related to Finra and state and federal compliance. Additionally, the Regional Supervisory Manager will oversee the day-to-day activities of the Licensed Investment Support Specialists.

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:

• Evaluate annual branch office audit results, review and approve affiliate’s correspondence, administer principal review of all OSJ files; review & monitor trading activity

• Serve as liaison with Securities Compliance while partnering on research and client communication regarding written and verbal complaints

• Collaborate with Securities Compliance regarding regulatory exam (FINRA, SEC and State) requests and compliance testing results

• Handle Registration issues (U-4, U-5, state registrations, Continuing Education follow-up, etc.)

• Responsible for educating and enforcing policies in compliance with Corporate Policies and Regulatory requirements

• Provide guidance to Sales Managers with customer complaints and disciplinary issues

• Provide guidance, process improvement suggestions, best practices, and leadership ideas to senior leadership

• Responsible for timely book reassignment and client notification upon termination of registered representatives

• Acts as on-boarding specialist for all new IE & LISS employees

• Responsible for the on-going training, development, and supervision of the Licensed Investment Support Specialist role including correspondence reviews, suitability reviews, office visits, etc.

• Effectively executes performance management/improvement actions to ensure the area is staffed with the right talent required to meet strategic revenue objectives

• Serve as liaison between Affiliate Sales Team and Operations Staff to provide improvement communications on operational/sales processes and procedures

• Handle various projects as needed

SUPERVISORY RESPONSIBILITIES:

Provides employees timely, candid, and constructive feedback; assisting in the development of employees to their full potential and provides challenging opportunities that enhance employee career growth; recognizes and rewards employees for accomplishments. Assists in the development of appropriate talent pool to ensure adequate bench strength and succession planning.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

• Bachelor’s degree in Business Administration, Finance, or equivalent experience

• Five (5) years of sales supervision experience within brokerage industry; prior experience supervising securities licensed persons preferred

• FINRA Series 7, Series 24, and Series 66 licenses with appropriate state resident insurance licenses for Life, Health, Long Term Care, and Variable required

• Strong knowledge of the securities business, investment products, and financial solutions

• Ability to learn and navigate brokerage computer systems; intermediate level computer skills with demonstrated knowledge of Microsoft Word, Excel, and Power Point

• Demonstrated ability to translate, simplify and communicate complex financial concepts

• Proven leadership experience including ability to coach, motivate and develop team members

• Strong interpersonal skills and relationship building skills with subordinates, peers, and leaders

• Excellent verbal and written communication skills and strong negotiation skills

• Ability to meet deadlines under pressure; strong organizational skills, ability to multi-task and be flexible

• Self-starter who can work with minimal direction

• Ability to travel as needed

Regional Supervisory Manager

LOCATION -- Cincinnati, Ohio 45202

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.