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.
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Job Description:
At Regions, the Capital Markets Compliance Analyst performs complex 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 prepare and review compliance reports for management
May serve as a subject matter expert and/or team lead to junior level 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
Seven (7) 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 to include: Word, Excel, and Access
Strong communication and organizational skills
Strong verbal and written communication skills and strong interpersonal skills
BlackArch Partners LLC is looking for a Capital Markets Compliance Analyst to support the Regions Financial M&A Services LLC (RFMA) regulatory compliance program, including:
Facilitating the filing of Forms U4, U5, and Fingerprints (NRFs)
Preparing and facilitating onboarding, annual, and ad-hoc attestations
Managing the Associated Persons register, including licensing and registration requirements
Provide compliance oversight for the disclosure of Personal Brokerage Account
Managing Branch locations, including inspections
Identifying, maintaining, and training Branch Managers and Persons-in-Charge
Reviewing Electronic Communications
Reviewing Marketing/Advertising materials
Supporting Lexicons for Electronic Communication reviews
Performing OFAC checks and perform daily screening reviews
Recordkeeping
Supporting the RFMA Regulatory Control environment: Control ownership, development, maintenance, and process mapping
Facilitating Regions Compliance Reviews / Testing
Identifying and recommending continued program and process improvements
The ideal candidate can expect to be included in the review and maintenance of the Written Supervisory Procedure (WSPs), training assessments and delivery, and other ad-hoc activities to support the responsibilities of both the Chief Compliance Officer and the President / FINOP.
Experience navigating a Risk and Control Self-Assessment (RCSA) and a bank's operational risk management framework are required.
Experience with Archer / RSA Archer, WorldCheck, Protogent/PTA, and SMARSH are a plus, but not required.
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:
$118,389.23 USD
Median:
$160,923.00 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
Regions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. (https://www.regions.com/about-regions/benefits/benefits-eligibility) Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.
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 click or copy the link below to your browser.
https://www.regions.com/about-regions/welcome-portal/benefits
Location Details
Blackarch
Location:
Charlotte, North Carolina
Equal Opportunity Employer/including Disabled/Veterans
Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.
