This position is responsible for monitoring and providing policy and procedure oversight, along with quality reviews / audits and resolving escalated customer service issues and correcting processing errors. The primary function of the Quality Control / Problem Resolution group is to provide quality oversight and administer the error correction policy for the Process and Control area, along with integrating and improving processes. Also, the group will provide expert service to other areas in regards to quality control and problem resolution.

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

ESSENTIAL DUTIES & RESPONSIBILITIES:

• Creates, maintains and provides oversight for policies and procedures.

• Ensures the area is meeting all quality and accuracy standards.

• Follows the guidelines, requirements and policies of Fifth Third Securities, including SEC / FINRA regulations, Self-Assessment and Risk Management.

• Serves as the primary escalation point on processes contained in the area.

• Maintains daily, weekly and monthly reporting of departmental activity, including production, quality, and trending.

• Ensure appropriate escalation of customer service, operational and/or employee issues to Department Manager.

• Responsible for promoting team work and cross training of employees.

• Work to integrate and improve processes into the Process and Control area from other operations groups.

• Enacts quality audits for all processes within the Process and Control area.

• Monitor daily quality and exception reports including PCA, Chargeback, Guardian, and Collateral reports.

• Ensures expectations for departmental goals around: accuracy, turn time and production volume are met.

• Manages and administers the error correction process including: research, resolution, reporting, and trend analysis.

• Manage and administer the account restriction process.

• Provide processing service to Compliance on CIP information.

• Has the capability to communicate across multiple levels of the organization in a concise and professional manner.

• Proactively communicate issues and identifies solutions that are representative of the client's and Fifth Third's needs.

SUPERVISORY RESPONSIBILITIES: None.

MINIMUM KNOWLEDGE, SKILLS AND ABILITIES REQUIRED:

• College degree is preferred, or 3 years of related business experience.

• Series 7 license is preferred.

• Knowledge of the securities industry and SEC / FINRA regulations is preferred.

• Reconciliation and quality control experience is a plus.

• Experience with Microsoft office products, such as Word and Excel.

• Customer Service and Data entry or related skills are necessary.

• Ability to work with minimum supervision.

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