Job Description

Capital Markets Compliance Analyst

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

Skills and Competencies

• 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

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.

Position Type

Full time

Compensation Details

Pay ranges are job specific and are provided as a point-of-market reference for compensation decisions. Other factors which directly impact pay for individual associates include: experience, skills, knowledge, contribution, job location and, most importantly, performance in the job role. As these factors vary by individuals, pay will also vary among individual associates within the same job.

The target information listed below is based on the Metropolitan Statistical Area Market Range for where the position is located and level of the position.

Job Range Target:

Minimum:

$95,013.77 USD

Median:

$121,936.50 USD

Incentive Pay Plans:

This role is eligible to participate in a discretionary incentive plan. Employees have the potential to receive a discretionary award based on performance against defined metrics and goals.

Benefits Information

• 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

Please note, benefits and plans may be changed, amended, or terminated with respect to all or any class of associate at any time. To learn more about Regions' benefits, please visit the link below.

Charlotte, North Carolina

Equal Opportunity Employer/including Disabled/Veterans

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