Capital Markets Compliance Analyst – Broker-Dealer Monitoring & Surveillance
Regions Bank
full-time
Posted on:
Location Type: Office
Location: Atlanta • North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $86,758 - $109,950 per year
Job Level
Mid-LevelSenior
About the role
- 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
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
- 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
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
data analysiscompliance reportingauditregulatory functionsadvanced Excel data managementreporting
Soft skills
organizational skillscommunication skillsinterpersonal skillsself-starterability to work with limited supervisioncommitment to deadlines