Capital Markets Compliance Function Manager- Municipal Securities

Job Description At Regions, the Capital Markets Compliance Function Manager operates as a first, second, or third line of defense risk management expert that advises on business and/or product decisions. Associate at this level has full ownership for one or more products or processes, contributing to process change and redesign in addition to developing business plans, policies, and procedures to support the Capital Markets Business. Primary Responsibilities Conduct compliance reviews and provide oversight of legal entities, business units, and processes Advise leadership on business and/or product decisions Provide requested information to regulatory agencies and advise management on potential and ongoing compliance issues Maintain proficient knowledge of rules and regulations and their impact on products, services and operations for a specific line of business Assist in resolving complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes Administer a monitoring and testing program to ensure effective compliance with all applicable laws and regulations Create and deliver training to assigned business area to increase compliance awareness Gather information requested by regulatory agencies May supervise day‑to‑day work of other professional level compliance associates May contribute to workflow or process change and redesign, and risk and control identification Requirements Bachelor’s degree in a business related field Ten (10) years’ experience in compliance, quality assurance/control, audit or other related compliance function Five (5) years’ experience in a compliance or related function specific to Capital Markets businesses Minimum of 4 days per week in Regions’ Birmingham, AL; Atlanta, GA; or Charlotte, NC corporate office 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 Position type: Full time Preferences Master’s degree Certified Regulatory Compliance Manager Certification (CRCM) Skills And Competencies Ability to work independently Deadline driven Knowledge of legal and regulatory environment as it relates to compliance in a particular line of business Organizational skills Proficiency in Microsoft Office Suite Strong communication skills Time management skills Preferred FINRA Licenses Series 52/53 Municipal Securities Series 24 General Securities Principal Series 79 Investment Banking Additional licenses that are applicable to the core job responsibilities (excluding RIA licenses) may be considered for continued registration Compensation Details Pay ranges are job specific and vary by experience, skills, knowledge, contribution, location, and performance. The target information for this role is based on the Metropolitan Statistical Area Market Range. Minimum: $155,976.70 USD Median: $211,040.00 USD This role is eligible to participate in a discretionary incentive plan and may have the opportunity to participate in the Long Term Incentive Plan. 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 Location Birmingham, Alabama Equal Opportunity Regions is an equal opportunity employer, including disabled and veterans. Additional Information To learn more about Regions’ benefits, visit #J-18808-Ljbffr Regions Bank