Capital Markets Compliance Analyst – Municipal Securities

Regions Bank

Capital Markets Compliance Analyst at Regions monitoring legal and business unit compliance with laws, regulations, and internal procedures. Preparing reports and guiding less experienced analysts.

Posted 7/11/2026full-timeAtlanta • Alabama, North Carolina • 🇺🇸 United StatesMid-LevelSenior💰 $95,013 - $121,936 per yearWebsite

Core Competencies

Role fit

Core Competencies

Use this summary to align your resume positioning with the role.

Demonstrates expertise in compliance monitoring and reporting within the banking sector, with strong analytical skills to assess data and ensure adherence to regulations. Proficient in Microsoft Products and capable of guiding less experienced analysts while managing tasks independently.

Highest-signal resume keywords

Compliance MonitoringBanking ExperienceData AnalysisMicrosoft ExcelFINRA Series 52/53

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance ReportingData AnalysisRegulatory FunctionsAudit ProceduresMicrosoft WordMicrosoft Access

Soft Skills

Organizational SkillsCommunication SkillsInterpersonal SkillsSelf-StarterDeadline Management

Certifications & Qualifications

FINRA Series 52FINRA Series 53

Industry Keywords

BankingRegulatory ComplianceLegal ComplianceRisk Management

About the role

Key responsibilities & impact

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

What you’ll need

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
Candidates with FINRA Series 52/53 Municipal Securities, or the ability to obtain, are very strongly preferred.

Benefits

Comp & perks

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