Licensed Investment Support Specialist II

About the role

The Licensed Investment Support Specialist II provides office management support for registered securities representatives (e.g., Investment Executives or Wealth Management Advisors). This role is responsible for risk management, ensuring compliance with policies and procedures, and driving a positive customer experience while operating within the Bank's risk appetite.

Responsibilities

• Provide daily administrative support to designated registered representatives and clients.
• Guide banking center partners as requested and process operational duties related to new/existing accounts, risk management, marketing support, and order entry.
• Perform account maintenance, including opening new accounts, processing money transfers, executing orders, and updating client information.
• Ensure timely and accurate execution of trading transactions and maintain documentation to standards.
• Maintain client contact to inform them about industry changes and deepen relationships.
• Educate and coach business partners on market conditions, products, compliance, and operational duties.
• Support multiple registered securities representatives or those with large books of business.
• Handle administrative functions, including executing trades, while ensuring compliance with federal and internal regulations.
• Collaborate with Banking Center or Private Bank partners to identify new client opportunities and strengthen existing relationships.
• Assist with onboarding Investment Executives, Wealth Management Advisors, or Licensed Investment Support Specialists as requested.
• Perform other projects or duties as assigned.

Requirements

• High school diploma or equivalent; Bachelor’s degree in Finance, Economics, or Business Management preferred.
• Securities Industry Essentials (SIE), Series 7, 66 (or 65 and 63), and appropriate state resident insurance licenses for Life, Health, Long Term Care, and Variable Annuity certification required.
• Five years of brokerage or related financial services experience.
• Excellent understanding of the financial industry, compliance regulations, operational duties, and investment brokerage/banking products.
• Prior brokerage experience preferred.
• Strong communication, organizational, and time management skills.
• Ability to work independently with limited supervision and prioritize multiple tasks effectively.
• Intermediate computer skills with demonstrated knowledge of Microsoft Word, Excel, and PowerPoint.
• Strong verbal, written, and negotiation skills.
• Ability to meet deadlines under pressure.

Benefits

Fifth Third offers comprehensive benefits and differentiated compensation, including:

• Base salary reflective of the role’s pay grade, adjusted for skillset, experience, education, and geographic location.
• Eligibility to participate in an incentive compensation plan based on company, line of business, and individual performance.
• Extensive benefits programs supporting physical, financial, emotional, and social well-being for employees and their families.

Learn more about benefits on the Fifth Third Careers page.

Location

Charlotte, North Carolina 28202