Capital Markets Compliance Analyst- Series 24/Broker-Dealer Supervision

Regions Bank

22h•Onsite

About The Position

At Regions, the Capital Markets Compliance Analyst performs compliance tasks and deals with compliance issues with limited supervision. Primary 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 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
FINRA Series 24 and similar Supervisory licenses may be held by Regions Securities, LLC.

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