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Regions Bank · 2 months ago

Capital Markets Compliance Analyst- Broker-Dealer Monitoring & Surveillance

Atlanta, GA

Full-time

Onsite

Mid, Senior Level

$87K/yr - $110K/yr

5+ years exp

Regions Bank is dedicated to providing a career-focused environment for its associates. The Capital Markets Compliance Analyst is responsible for monitoring compliance with laws and regulations, preparing compliance reports, and guiding less experienced analysts.

BankingInsurance

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

Qualification

Compliance monitoringData analysisBanking experienceMicrosoft ProductsCommunicationLearn systemsLimited supervisionOrganizational skillsSelf-starterInterpersonal skills

Required

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

Preferred

Preferred experience with the following systems: SMARSH, FIS Protegent/Protegent ECM, Governance and Controls systems, and advanced Excel data management and reporting

Benefits

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

Company

Regions Bank

Glassdoor3.6

Regions Financial Corporation is a member of the S&P 500 Index and is one of the nation’s largest full-service providers of consumer and commercial banking, wealth management, and mortgage products and services.

Founded in 1971

Memphis, Tennessee, USA

10001+ employees