Principal Review Specialist

Fifth Third Bank

Principal Review Specialist performing brokerage and insurance regulatory sales supervision. Ensuring compliance with regulatory standards and mitigating risk within the Fifth Third Bank.

Posted 7/22/2026full-timeRemote • Ohio • 🇺🇸 United StatesLead💰 $54,400 - $111,500 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in brokerage and insurance regulatory compliance, with a strong focus on transaction approval and business practice reviews. Proficient in investment products and regulatory examinations, ensuring adherence to industry standards.

Highest-signal resume keywords

Brokerage Regulatory Sales SupervisionTransaction Approval and RejectionInvestment Product KnowledgeRegulatory ComplianceSeries 7, 63, and 24 Certifications

ATS Keywords

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Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills

Investment ProductsAnnuitiesStocksETFsETNsMutual FundsUITsStructured ProductsCorporate BondsGovernment Bonds

Certifications & Qualifications

Series 7Series 63Series 24Series 4Series 53Series 66Life Insurance LicenseHealth Insurance License

Industry Keywords

BrokerageInsuranceRegulatory RequirementsBusiness Practice ReviewsIrregular Trading Activity

About the role

Key responsibilities & impact

Performs brokerage and insurance regulatory sales supervision functions
Approves or rejects a subset of business processes including rollovers, securities and/or insurance transactions
Determines whether transactions are in conformance with regulatory requirements
Conducts informal business practice reviews to identify trends and/or irregular trading activity
Assists with regulatory exams and requests

Requirements

What you’ll need

High school diploma or equivalent required
Bachelor's degree in Finance, Economics or related field preferred
2 years brokerage or related work experience
Series 7, 63, and 24 are required to be obtained
Strongly encouraged to obtain Series 4, 53 and 66, as well as a life and health insurance license
Extensive knowledge of investment products including Annuities, Stocks, ETF's, ETN's, Mutual Funds, UIT's, Structured Products, Corporate Bonds, Government Bonds, Municipal Bonds, Brokerage CD's and Options

Benefits

Comp & perks

Comprehensive benefits programs
Health insurance
Retirement plans
Paid time off
Flexible work arrangements
Professional development opportunities
Incentive compensation plan based on performance