Capital Markets Compliance Function Manager- Municipal Securities

Primary Responsibilities

• Conducts compliance reviews and provides oversight of legal entities, business units, and processes
• Advises leadership on business and/or product decisions
• Provides requested information to regulatory agencies and advises management on potential and ongoing compliance issues
• Maintains proficient knowledge of rules and regulations and their impact on products, services and operations for a specific line of business
• Aids in resolving complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes
• Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
• Creates and delivers training to assigned business area to increase compliance awareness
• Gathers information requested by regulatory agencies
• May supervise day-to-day work of other professional level compliance associates
• Contributes to workflow or process change and redesign, and risk and control identification

Requirements

• Bachelor’s degree in business related field
• Ten (10) years’ experience in compliance, quality assurance/control, audit or other related compliance function
• Five (5) years' experience in a compliance or related function specific to Capital Markets businesses

Preferences

• Master’s degree
• Certified Regulatory Compliance Manager Certification (CRCM)

Skills And Competencies

• Ability to work independently
• Deadline driven
• Knowledge of legal and regulatory environment as it relates to compliance in a particular line of business
• Organizational skills
• Proficiency in Microsoft Office Suite
• Strong communication skills
• Time management skills

FINRA Licenses

• Series 52/53 Municipal Securities
• Series 24 General Securities Principal
• Series 79 Investment Banking

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role.

Other Benefits

• Paid vacation/sick time
• 401K with Company Match
• Medical, Dental and Vision Benefits
• Disability Benefits
• Health Savings Account
• Flexible Spending Account
• Life Insurance
• Parental Leave
• Employee Assistance Program
• Associate Volunteer Program

Location Details

Regions Center Location: Birmingham, Alabama

Equal Opportunity Employer

including Disabled/Veterans