Investment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24

About the role

At Regions, the Capital Markets Compliance Analyst performs complex compliance tasks and deals with compliance issues with limited supervision. This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay. The role is incentive eligible.

Responsibilities

• Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
• May prepare and review compliance reports for management
• May serve as a subject matter expert and/or team lead to junior level analysts
• Facilitate the filing of Forms U4, U5, and Fingerprints (NRFs)
• Prepare and facilitate onboarding, annual, and ad-hoc attestations
• Manage the Associated Persons register, including licensing and registration requirements
• Provide compliance oversight for the disclosure of Personal Brokerage Accounts
• Manage branch locations, including inspections
• Identify, maintain, and train Branch Managers and Persons-in-Charge
• Review electronic communications
• Review marketing/advertising materials
• Support lexicons for electronic communication reviews
• Perform OFAC checks and daily screening reviews
• Maintain recordkeeping
• Support the RFMA Regulatory Control environment: control ownership, development, maintenance, and process mapping
• Facilitate Regions Compliance Reviews / Testing
• Identify and recommend continued program and process improvements
• Participate in review and maintenance of Written Supervisory Procedures (WSPs), training assessments and delivery, and other ad-hoc activities supporting the Chief Compliance Officer and the President / FINOP

Requirements

• Bachelor's degree
• Seven (7) years banking experience with a concentration in audit, compliance, or regulatory functions
• Experience navigating a Risk and Control Self-Assessment (RCSA) and a bank's operational risk management framework

Skills

• Ability to analyze data and facts
• Ability to learn additional systems as needed
• Ability to work with limited supervision
• Demonstrated self-starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal, and financial risks
• Excellent organizational skills
• Proficient with Microsoft Products (Word, Excel, Access)
• Strong communication and organizational skills
• Strong verbal and written communication skills and strong interpersonal skills
• Experience with Archer / RSA Archer, WorldCheck, Protogent/PTA, and SMARSH (a plus, not required)

Pay

Minimum Job Range Target: $118,389.23 USD; Median: $160,923.00 USD. Pay ranges are job specific and provided as a point-of-market reference; individual pay varies based on experience, skills, knowledge, contribution, job location, and performance. This role is eligible for a discretionary incentive plan with potential awards based on performance against defined metrics and goals.

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

Schedule

Full-time position located in Charlotte, North Carolina.