Job Details

Compliance Manager Testing Manager Cincinnati or Grand Rapids

Company name
Fifth Third Bank

Cincinnati, OH

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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.

Enterprise 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.

GENERAL FUNCTION: Cincinnati or Grand Rapids

Partners with Compliance Director in advocating and facilitating the development, implementation, communication, and maintenance of the corporate-wide Compliance Risk Management (CRM) testing program. Responsible for managing targeted compliance reviews to determine whether the Bancorp's lending and deposit products and processes comply with applicable regulatory requirements (i.e. B, C, D, E, H, Q, DD, CC, M, U, X, Y, Z, HOEPA, UDAAP, FCRA and Predatory Lending). Evaluates efficiency and effectiveness of existing programs, processes, and control within departmental operations and propose and implement solutions. Responsible for all facets of the Line of Business compliance program to ensure full compliance with state and federal laws, rules, and regulations. Provide reporting and actively engage Executive leadership to communicate the results of testing and any instances of non-compliance along with guidance toward corrective action of the identified issue root cause. Manages Line of Business compliance staff.

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.


-Collaborate with the Compliance Director with the overall management of the Bank's compliance testing

Program to ensure it is effective, efficient and scalable so that it is well positioned to meet the changing risk environment and can quickly adapt to changing priorities.

- Ensure testing progression against the annual CTM schedule and escalate potential roadblocks timely

- Provide leadership, motivation, coaching and assessment to ensure optimum team and individual performance in support of department, division and Bancorp goals

- Lead and manage staff at various levels, with accountability for hiring, on-boarding, training, coaching & development

- Review compliance risk assessment and ensure testing scope and attributes evaluate key risks identified on the risk assessment during periodic reviews

- Complete performance reviews, talent assessments, other daily managerial duties and any additional duties as assigned

- Explain and discuss regulatory findings with Compliance partners and LOB leadership. Identify the root cause and help to recommend an appropriate corrective action. Obtain agreement with business partners regarding issue complexity and issue resolution prior to issuing the report.

- Guide the Compliance Officers in developing the test scope and test plan, as needed

- Review management responses for appropriateness. Ensure management responses mitigate the risk of the exception and address the root cause. Ensure issues identified through testing are tracked and accounted for in the PPM system.

-Responsible for developing, strengthening, and implementing the Line of Business compliance

program in compliance with existing laws and regulations, including governance, policies and

procedures, monitoring, reporting, communications, and education.

-Initiates and facilitates collaborative alliances with Line of Business Risk Manager, Affiliate

management, and corporate partners to ensure Line of Business compliance program is adequately


- Conduct Quality Control and Quality Reviews of all Analysts reviews, as needed

-Assists in the development of strategic CRM goals and tactical and strategic planning systems.

-Communicates significant issues to senior management.

-Serves on various task forces or discussion groups to address compliance related issues.

-Oversees evaluations of Line of Business compliance processes and procedure effectiveness

across Affiliates.

-Identifies opportunities, establishes action plans, and drives solutions to continuously improve

compliance program, and increase efficiency.

- Seek process improvements by re-assessing compliance testing functions and approaches taking into account resources, subject matter expertise, prior testing results, regulatory changes and LOB process changes.

-Partners with the Director of Compliance Communications and Training Department to develop

awareness, training, and required continuing education programs as it relates to specific laws and


-Provides leadership, coaching, and assessment to ensure optimum team and individual

performance in support of department, division, and Bancorp goals.

-Builds industry relations through industry networking.

-Maintains a cutting edge awareness of division goals, regulatory and legislative developments,

and industry trends.

-Participate in testing-related projects as they arise such as providing documentation in response to an internal audit or external exam

- Ensure team completes appropriate Compliance training timely and identifies resources for relevant training

-Assumes additional responsibilities and leads special projects as assigned.

-Conducts interviews and discussions with managers at all levels to understand the lending

process, lending guidelines and technology platforms.

-Analyzes data by numerous delivery channels, geographic area, product types, facility, and even

employee or officer to identify risks and develop and recommend scope or target for the review,

corrective action/or performance gap closure. Develops and executes strategies for closing gaps in


-Assess the adequacy of the business units'/affiliates recommended corrective action to the

issues or gaps identified.

-Develop and report findings to Senior Management regarding their business lines (Legal, Audit,

and Senior level Operating Committees).

-Works with Sr. Leadership to set strategic direction for department and executes on those goals

and objectives.

-Participates and/or leads regular meetings with peers to build and maintain knowledge of current

and emerging issues and risk in the environment

-Reward and recognize team members for their contributions and accomplishments.


Manages staffing to ensure optimal performance in meeting

the Risk Management Division's goals and the objectives of contributing to the Bancorp continued

success in the Financial Services Industry. Assists in the recruiting process; conducts interviews

and provides candid, timely feedback. Ensures proper orientation formal and informal for assigned

employees. Identifies challenging work assignments, mentoring and education programs to give

employees exposure to proactive problem solving throughout the company. Develops and

maintains ongoing two-way timely and clear performance feedback to maintain healthy, proactive work

relationships. Encourages open dialogue that promotes creative and out of the box problem solving skills. Researches and supports participation in leadership and skills based training for all staff levels. Participates in the mentoring program to help staff and senior auditors reach their professional goals. Aggressively prepares all levels of staff for future.

Fifth Third Bank is proud to have an engaged and inclusive culture and to promote and ensure equal employment opportunity in all employment decisions regardless of race, color, gender, national origin, religion, age, disability, sexual orientation, gender identity, military status, veteran status or any other legally protected status.

Experience Required


-Education: Bachelor's degree or equivalent work experience required.

-Computer/Technical: Demonstrates working or functional proficiency sufficient to apply the use

of software applications (Micro-Soft Office Suite) without assistance and minimal supervision.

-Able to understand and conceptualize basic statistical analysis and theories. Solid experience in

manipulating (validating, correcting, reformatting, and transforming) data into more than one

format, (e.g. spreadsheets, flat files, databases, etc.)

-Strong analytical skills required to gather, assesses and present quantitative and qualitative data.

-Able to develop and support conclusions and make practical recommendations to the business

lines and/or Affiliates. Ability to develop and implement controlled, systematic step-by-step

processes based on guidance and procedures

-Ability to work independently and in a team to plan and accomplish a project or elements of a

project (complexity of project scope to depend on seniority), identifying responsibilities, tasks,

deadlines and pursuing their timely completion.

-Advanced understanding of consumer finance and of Fifth Third Banking and Mortgage products,

business lines, Affiliate structure and operations, and Corporate support organization. Including,

the bank's management teams and decision-making operations.

-Ability to work with a team, to identify and solve problems or resolve issues, including members

from other units such as the Legal Department, Audit Department, or Business Unit.

-Strong understanding of the Federal Reserve and Consumer Financial Protection Bureau (CFPB)

examination standards and general regulatory issuances.

-Advanced understanding of the operations and interdependencies of the Affiliates and Bancorp.

-Including back-office operations related to credit products.

-Advanced understanding of Fair Lending and Responsible Banking laws and regulations and the

technical requirements of the Community Reinvestment Act (CRA), Interagency Fair Lending

-Examination Procedures (IFLEP) and the Interagency CRA Examination Procedures (IEP).

-Excellent oral and written communication skills. Effectively communicates upward, downward and

laterally. Displays a positive business presence with management and external contacts.

-Must be able to demonstrate sound judgment and apply logical and critical thought processes

when developing and recommending solutions.


-Possesses ability to maintain professional composure in a dynamic work environment that often

requires the management of multiple and competing priorities.

-Demonstrates willingness to be a contributing and engaged member of team by sharing

knowledge, working towards common goals and maintaining a positive attitude. Capable of

establishing effective work relationships with peers and credibility withsuperiors and customers.

-Establish, foster and maintain working relationships with peers and supervisory management

within the Division, business lines and Information Technology support.

-Full adherence to Fifth Third's Core Values of Integrity, Teamwork and Collaboration, Respect

and Inclusion, and Accountability required.


-Normal office environment with little exposure to dust, noise, temperature and the like.

-Extended viewing of a CRT screen.

-Please see Compliance Job Matrix for other key differences between Responsible Banking; CRA;

-Lending Compliance; Governance & Review; Specialty, BSA/AML; Financial Products Compliance.

-Depending on position requirements some roles may require NASD licensing.

All the above duties and responsibilities are essential job functions for which reasonable accommodation will be made. All

job requirements listed indicate the minimum level of knowledge, skills and/or ability deemed necessary to perform the job

proficiently. This position description is not to be construed as an exhaustive statement of duties, responsibilities or

requirements. Employees may be required to perform any other job-related instructions as requested by their supervisor,

subject to reasonable accommodation.

Job Code: 51310625

Posted Date: September 11, 2017



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Compliance Manager-Testing Manager-Cincinnati or Grand Rapids

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Company info

Fifth Third Bank
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Company Profile
Fifth Third Bank is The curious bank. We are one of the top-performing banks in the country with a more-than-150-year heritage of success that comes from living up to our promise of listening to our customers and inspiring them with smart financial solutions. We are about: Fifth Third Bank, Member FDIC. Fifth Third Bank is proud to be an affirmative action/equal opportunity employer. M/F/D/V Specialties Commercial Banking, Branch Banking, Consumer Lending, Investment Advisors

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