Fifth Third Bank · 3 weeks ago
Regional Supervisory Manager
United States
Full-time
Remote
Senior Level
$96K/yr - $208K/yr
5+ years expFifth Third Bank is a leading financial institution connecting great people to great opportunities. The Regional Supervisory Manager will oversee compliance and regulatory guidance for branch operations, ensuring adherence to corporate policies and facilitating communication between sales and compliance teams.
BankingLendingFinanceMedia and EntertainmentCommercial LendingFinancial ExchangesFinancial ServicesMortgage
No H1B
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
Qualification
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
Benefits
In addition to the base salary, this role is eligible to participate in an incentive compensation plan, with any such payment based upon company, line of business and/or individual performance.
Our extensive benefits programs are designed to support the individual needs of our employees and their families, encompassing physical, financial, emotional and social well-being.
You can learn more about those programs on our 53.com Careers page at: <https://www.53.com/content/fifth-third/en/careers/benefits.html> or by consulting with your talent acquisition partner.
Company
Fifth Third Bank
Fifth Third Bancorp is a financial services company that specializes in small business, retail banking, and investments. It is a sub-organization of Fifth Third Bank.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
unknown1978-01-13IPO
Leadership Team
B
Bryan Preston
Chief Financial Officer
Maria Holmes
VP, Senior Manager Corporate Sponsorship
Recent News
Retail Banker International
2026-06-09
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