Investment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24
Regions Bank, Charlotte, NC, United States
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.
Prepares and reviews compliance reports for management.
Provides guidance and direction to less experienced analysts.
Requirements
Bachelor's degree.
Five (5) years of 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.
Self‑starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal, and financial risks to the company.
Excellent organizational skills.
Proficiency with Microsoft products including Word, Excel, Access.
Strong communication and organizational skills.
Strong verbal and written communication skills and interpersonal skills.
Position Type
Full time. 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.
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.
Target salary: 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
Location
Blackarch, Charlotte, North Carolina.
Equal Opportunity Employer
Regions is an Equal Opportunity Employer, including Disabled/Veterans.
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Primary Responsibilities
Monitors legal entity and business unit activity to ensure compliance with laws, regulations, and internal procedures.
Prepares and reviews compliance reports for management.
Provides guidance and direction to less experienced analysts.
Requirements
Bachelor's degree.
Five (5) years of 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.
Self‑starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal, and financial risks to the company.
Excellent organizational skills.
Proficiency with Microsoft products including Word, Excel, Access.
Strong communication and organizational skills.
Strong verbal and written communication skills and interpersonal skills.
Position Type
Full time. 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.
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.
Target salary: 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
Location
Blackarch, Charlotte, North Carolina.
Equal Opportunity Employer
Regions is an Equal Opportunity Employer, including Disabled/Veterans.
#J-18808-Ljbffr