Capital Markets Compliance Function Manager- Municipal Securities
About The Position
Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice. 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)
- 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
Benefits
- This position is incentive eligible.
- Opportunity to participate in the Long Term Incentive Plan.
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What This Job Offers
Job Type
Full-time
Career Level
Senior
