Investment Banking Compliance Analyst- FINRA 9/10 or 24 Licensed

Regions Bank•Charlotte, NC

5d•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. The Investment Banking Compliance Analyst will support the Regions Financial Merger & Acquisition (M&A broker-dealer) division by overseeing compliance activities across all stages of deal execution and ongoing supervisory functions. Day to day, the role involves: Monitoring M&A deal activity, conducting risk assessments, and reviewing marketing materials to ensure adherence to regulatory and internal standards. Providing oversight of email and other communications, perform branch office inspections where needed, and oversee registration-related requirements. Assistance in updating policies and procedures, conducting audits, assisting with the creation and delivery of training to business partners, ensure business units understand relevant requirements, and contribute to various compliance-related projects to ensure the business operates within all applicable rules and controls. This role requires holding Series 79, and 24 licenses, or the ability to obtain them within six months of hire. Active, recently held, or licenses currently in MPQ (and in good standing) may continue to be held by Regions, with the exception of registered advisor licenses. This position will require daily (M-F), on-site attendance at our BlackArch Partners office in Uptown Charlotte.

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
This role requires holding Series 79, and 24 licenses, or the ability to obtain them within six months of hire.

Responsibilities

Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures
Prepare and review compliance reports for management
Provide guidance and direction to less experienced analysts
Monitoring M&A deal activity, conducting risk assessments, and reviewing marketing materials to ensure adherence to regulatory and internal standards.
Providing oversight of email and other communications, perform branch office inspections where needed, and oversee registration-related requirements.
Assistance in updating policies and procedures, conducting audits, assisting with the creation and delivery of training to business partners, ensure business units understand relevant requirements, and contribute to various compliance-related projects to ensure the business operates within all applicable rules and controls.