Investment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24
Regions Bank, Charlotte, NC, United States
Capital Markets Compliance Analyst
At Regions, the Capital Markets Compliance Analyst performs 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 also prepare and review compliance reports for management
May provide guidance and direction to less experienced 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
Five (5) 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 including Word, Excel, Access
Strong communication and organizational skills
Strong verbal and written communication skills and strong interpersonal skills
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: $95,013.77 USD
Median: $121,936.50 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
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.
Location Details
Location: Charlotte, North Carolina
Equal Opportunity Employer/including Disabled/Veterans
At Regions, the Capital Markets Compliance Analyst performs 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 also prepare and review compliance reports for management
May provide guidance and direction to less experienced 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
Five (5) 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 including Word, Excel, Access
Strong communication and organizational skills
Strong verbal and written communication skills and strong interpersonal skills
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: $95,013.77 USD
Median: $121,936.50 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
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.
Location Details
Location: Charlotte, North Carolina
Equal Opportunity Employer/including Disabled/Veterans