FTWA Admin and Operations Officer

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GENERAL FUNCTION:

Responsible for the facilitation, coordination, execution, and review of the requisite activities related to account opening, on-going account service and maintenance, client, and advisor support, and FTWA operational processes.

Responsible and accountable for risk by openly exchanging ideas and opinions, elevating concern, 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 Fifth Third Bank's and Fifth Third Wealth Advisors' risk appetite, achieves results by consistently identifying, assessing, managing, monitoring, and reporting risks of all types.

ESSENTIAL DUTIES AND RESPONSIBILITIES

• Acts as subject matter expert for all account opening, maintenance, service, and client account related processes and activities with ability to train, support, and transfer knowledge to FTWA advisors.

• Manages, dispositions, and resolves daily Fidelity service alerts including home office approvals, account restrictions, margin calls, account errors, etc.
• Serves as a key resource and contact for FTWA advisor teams in terms of understanding account set up requirements, CIP and Due Diligence requirements, required approvals, fee structures and system coding requirements.
• First point of contact for FTWA advisor teams to provide support solving problems, navigating tools and applications, resolving service items, etc.
• Manages and oversees FTWA client documentation repositories and through periodic quality reviews, ensure relevant documentation is properly completed and maintained.
• Provides reporting and evidence to Fifth Third Risk functions either as requested ad hoc, or during ongoing Internal Audits, Business Controls RCSAs, PDRAs, and Compliance Topic Reviews.
• Coordinates with FTWA Ops and Admin Sr. Managers and RIA Shared Services to facilitate the preparation and review of client fee billing and the FTWA advisor compensation processes.
• Maintains entire FTWA documentation repository ensuring quality, version control, and access are sufficient to deliver top notch client experience, ease of advisor use, and compliance with associated rules, regulations, and policies.
• Performs a variety of special projects and other duties as assigned.

Knowledge, Skills and Abilities

• Bachelor's degree is required; Business, Management or Finance degree preferred.
• Minimum 2 years investment, brokerage, and/or trust experience, with a preference for experience in a high net worth and/or institutional client setting
  • Good understanding of the investment advisory and/or trust regulatory and compliance environments.
• Demonstrated proficiency with client relationship management systems (CRM), document repositories, and electronic workflow tools.
  • Excellent verbal and written communication skills .
• Ability to work in a team environment, presenting a professional image and developing strong rapport with staff, peers, and senior management.
  • Strong workflow/project management skills and ability to adapt to a consistently changing regulatory environment.
  • Strong analytical and problem-solving skills.
  • Proficient with Microsoft office products, such as Word, Excel, PowerPoint and Outlook.
• Knowledge of Wealth & Asset Management businesses and systems is preferred; along with familiarity of Wealth & Asset Mgmt policies and procedures, strategies, controls, risk/compliance, etc.
  • General knowledge on investment reporting systems, investment performance calculations, and analytics.
  • Basic understanding of investment strategies, markets, securities, ratings.
• Basic understanding of portfolio management and trade order management systems, Charles River Investment System would be preferred.
  • Basic understanding of custodial systems; AMTrust, Charles Schwab, and Fidelity preferred

FTWA Admin and Operations OfficerLOCATION -- Charlotte, North Carolina 28202

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.