Compliance Manager

Less than 5 years experience  •  Financial Services

Salary depends on experience
Posted on 11/14/17
Chicago, IL
Less than 5 years experience
Financial Services
Salary depends on experience
Posted on 11/14/17

Fifth Third Bank is one of the top-performing banks in the country, with a heritage that spans more than 150 years. As The curious bank, we’ve staked our claim on looking at things differently, at being better listeners and at showing more commitment. This applies to our relationships with customers and employees alike.

We employ about 19,000 people, and what we offer is:
• A chance for employees to build their future, with supportive career development and financial wellness programs.
• An environment where we win together. We celebrate achievement and work collaboratively. We’re also a two-time Gallup Great Workplace honoree.
• An invitation to impact lives in a positive and lasting way. Everything we do is geared toward improving lives. That’s fun and exciting.

It comes down to the fact that Fifth Third is a warm and caring place to with which to grow – as a customer or as a team member.Division DescriptionEnterprise Risk Management (ERM) is the process of identifying, quantifying and managing the risks that an organization faces while applying it to the overall Bank Strategy. While it is impossible to remove all risk from the organization effective risk management requires a strong risk culture and risk governance. Risk culture is the system of values and behaviors within the organization that shapes the day-to-day decisions that we all make. Developing a risk culture is a continuous process – it is consistent with, and builds upon, our Core Values, Leadership Competencies, and Code of Business Conduct and Ethics in that it is based on a common understanding that managing risk is everyone's responsibility and creates an environment that encourages the open exchange of ideas, willingness to elevate concerns, and a commitment to "doing the right thing." As such, risk culture is a critical element of the Bank's risk management efforts.Job Description GENERAL FUNCTION:

Fifth Third Bancorp is seeking a Compliance Manager responsible for the administration and support of an enterprise personal trading and information barriers compliance program through oversight of the Control Room and Personal Account Dealing.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

•Assists in the management and administration of enterprise personal trading compliance program
•Assists in the management and administration of enterprise information barriers
•Manages the identification and mitigation of potential or actual conflicts of interest within organization’s commercial line of business
•Provides guidance to, and collaborates with, senior management and functional business units on the development and implementation of compliance programs related to personal trading and information barriers
•Communication and escalation of significant issues to business line supervisors and senior management
•Assessment of the adequacy of the business units'/affiliates compliance program and proposed resolution of gaps and/or non-compliance events
•Oversee compliance testing and trading surveillance
•Oversee compliance risk assessments
•Conduct related compliance training

SUPERVISORY RESPONSIBILITIES:

•Manages staffing to ensure optimal expertise and performance to execute the group’s organizational mandate
•As necessary and appropriate, assists in the recruiting process
•Identifies challenging work assignments, mentoring and education programs provide employees with opportunity for growth within the Bancorp.
•Develops and maintains open dialogue and an environment for constructive feedback that promotes critical thinking and creative problem-solving.
•Develops and oversees programs and processes to be carried out by staff.
Minimum Skills & ExperienceMINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

•Education: Bachelor's degree
•Minimum 3 years of experience in a financial firm or related field
•Experience and understanding of financial institution compliance programs
•Knowledge of SEC, CFTC, FINRA and NFA Rules as well as industry standards and trends
•Strong analytical, communication and critical thinking skills
•High degree of integrity and strong work ethic

PERFERRED QUALIFICATIONS

•Experience with financial institution in a Control Group function conflicts issues, information barrier controls and personal trading best practices
•Management experience.

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