Capital Markets Compliance Analyst – Broker-Dealer Monitoring & Surveillance
Regions Bank
Corporate Compliance Analyst – Risk Quantitative Model Compliance
Regions Bank
full-time
Posted on:
Location Type: Office
Location: Atlanta • Alabama, North Carolina • 🇺🇸 United States
Visit company websiteSalary
💰 $66,375 - $85,210 per year
Job Level
Mid-LevelSenior
About the role
- Maintains a proficient knowledge of rules and regulations and their impact on products, services, and operations for a specific line of business
- Establishes line of business partnerships and serves as a subject matter expert to the business groups on issues related to compliance
- Conducts research of laws and regulations that impact compliance to include monitoring for new laws and regulations or changes to existing laws and regulations and providing communication to appropriate lines of business which will be impacted by these changes
- Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
- Gathers information requested by regulatory agencies
- May provide advice and guidance to junior associates on occasion
Requirements
- Bachelor’s degree and three (3) years of experience in compliance, quality assurance/control, audit, or other related compliance function specific to a line of business
- High School Diploma or GED and seven (7) years of experience in compliance, quality assurance/control, audit, or other related compliance function specific to a line of business
- Certified Regulatory Compliance Manager (CRCM) (preferred)
- Ability to learn additional systems as needed
- Ability to research, analyze data, and derive facts
- Ability to work in a team environment when applicable
- Ability to work under moderate guidance
- Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, etc.)
- Strong verbal, written communication, and organizational skills
- Strong work ethic and self-motivation
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
compliancequality assuranceauditregulatory researchdata analysismonitoring and testing
Soft skills
communicationorganizational skillsteamworkself-motivationwork ethic
Certifications
Certified Regulatory Compliance Manager (CRCM)