Capital Markets Compliance Analyst- Series​/Broker-Dealer Supervision

Job Description:

At Regions, the Capital Markets Compliance Analyst performs compliance tasks and deals with compliance issues with limited supervision.

• 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.

• 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

FINRA Series 24 and similar Supervisory licenses may be held by Regions Securities, LLC. Regions is not an Investment Advisor, therefore Advisory licenses may not continue to be held.

Preferred experience with the following systems:
SMARSH, FIS Protegent/Protegent ECM, Governance and Controls systems, and advanced Excel data management and reporting.

This position will require daily (M-F) on site attendance at Regions Midtown Atlanta office.

Full time

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.

Minimum: $95,013.77 USD

Median: $ 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.

• 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. To learn more about Regions’ benefits, please visit the following link:

Atlanta Midtown

Atlanta, Georgia

Equal Opportunity Employer/including Disabled/Veterans

Job applications at Regions are accepted electronically through our career site for a minimum of five business days from the date of posting. Job postings for higher-volume positions may remain active for longer than the minimum period due to business need and may be closed at any time thereafter at the discretion of the company.