Chief Compliance Officer

2 days ago


Charlotte, North Carolina, United States Fifth Third Full time
Job Title: Chief Compliance Officer

Fifth Third Bank, National Association is seeking a highly skilled and experienced Chief Compliance Officer to join our team. As a key member of our Wealth Advisors division, you will be responsible for ensuring that our policies and procedures are designed to prevent violations of the Investment Advisers Act of 1940 and other securities laws.

Key Responsibilities:
  • Develop and implement compliance programs to ensure adherence to regulatory requirements.
  • Provide strategic leadership and direction to the compliance team.
  • Collaborate with senior leadership to set strategic direction for the department.
  • Manage and oversee the compliance risk assessment process.
  • Develop and maintain relationships with regulatory agencies and industry working groups.
Requirements:
  • 10+ years of experience in compliance and financial services.
  • 5+ years as a Registered Investment Adviser Chief Compliance Officer or equivalent experience.
  • Comprehensive knowledge of SEC regulations and applicable Federal and State laws.
  • Strong leadership and collaboration skills.
  • Ability to effectively interact and communicate with all levels of staff.
About Fifth Third:

Fifth Third Bank, National Association is a leading financial institution with a commitment to integrity, teamwork, and collaboration. We offer a dynamic and inclusive work environment and are proud to promote and ensure equal employment opportunity in all employment decisions.



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