Capital Markets Compliance Function Manager- Municipal Securities

Regions Bank•Atlanta, GA

37d•$155,977 - $211,040•Hybrid

About The Position

At Regions, the Capital Markets Compliance Function Manager operates as a first, second, or third line of defense risk management expert that advises on business and/or product decisions. Associates at this level have full ownership for one or more products or processes, contributing to process change and redesign in addition to developing business plans, policies, and procedures to support the Capital Markets Business.

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

Nice To Haves

Master’s degree
Certified Regulatory Compliance Manager Certification (CRCM)
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
Candidates with the following FINRA licenses, or ability to obtain, are very strongly preferred: Series 52/53 Municipal Securities Series 24 General Securities Principal Series 79 Investment Banking
Additional licenses that are applicable to the core job responsibilities (with the exception of RIA licenses) may be taken into consideration for continued registrations.

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
Assists 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
May contribute to workflow or process change and redesign, and risk and control identification