Capital Markets Compliance Analyst- Broker-Dealer Monitoring & Surveillance

Regions Bank

110d • $86,758 - $109,950

About The Position

At Regions, the Capital Markets Compliance Analyst performs 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. This position is incentive eligible.

Requirements

• Bachelor's degree
• Five (5) years banking experience, with a concentration in audit, compliance or regulatory functions
• 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 to the company
• Excellent organizational skills
• Proficient with Microsoft Products including Word, Excel, Access
• Strong communication and organizational skills
• Strong verbal and written communication skills and strong interpersonal skills

Nice To Haves

• Preferred experience with the following systems: SMARSH, FIS Protegent/Protegent ECM, Governance and Controls systems, and advanced Excel data management and reporting.

Responsibilities

• Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
• May also prepare and review compliance reports for management
• May provide guidance and direction to less experienced analysts

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

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Bachelor's degree
• Number of Employees: 5,001-10,000 employees