Investment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24

Thank you for your interest in a career at Regions. At Regions, we believe associates deserve more than just a job. We believe in offering performance-driven individuals a place where they can build a career --- a place to expect more opportunities. If you are focused on results, dedicated to quality, strength and integrity, and possess the drive to succeed, then we are your employer of choice.Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions’ Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system.Job Description:At Regions, the Capital Markets Compliance Analyst performs complex 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 proceduresMay prepare and review compliance reports for management May serve as a subject matter expert and/or team lead to junior level analystsThis position is exempt from timekeeping requirements under the Fair Labor Standards act and is not eligible for overtime pay. This position is incentive eligible.RequirementsBachelor's degreeSeven (7) years banking experience with a concentration in audit, compliance or regulatory functionsSkills and CompetenciesAbility to analyze data and factsAbility to learn additional systems as neededAbility to work with limited supervisionDemonstrated self-starter committed to meeting deadlines and performing tasks carefully to avoid regulatory, reputational, legal and financial risks to the companyExcellent organizational skillsProficient with Microsoft Products to include: Word, Excel, and AccessStrong communication and organizational skillsStrong verbal and written communication skills and strong interpersonal skillsBlackArch Partners LLC is looking for a Capital Markets Compliance Analyst to support the Regions Financial M&A Services LLC (RFMA) regulatory compliance program, including:Facilitating the filing of Forms U4, U5, and Fingerprints (NRFs)Preparing and facilitating onboarding, annual, and ad-hoc attestationsManaging the Associated Persons register, including licensing and registration requirementsProvide compliance oversight for the disclosure of Personal Brokerage AccountManaging Branch locations, including inspectionsIdentifying, maintaining, and training Branch Managers and Persons-in-ChargeReviewing Electronic CommunicationsReviewing Marketing/Advertising materialsSupporting Lexicons for Electronic Communication reviewsPerforming OFAC checks and perform daily screening reviewsRecordkeepingSupporting the RFMA Regulatory Control environment: Control ownership, development, maintenance, and process mappingFacilitating Regions Compliance Reviews / TestingIdentifying and recommending continued program and process improvementsThe ideal candidate can expect to be included in the review and maintenance of the Written Supervisory Procedure (WSPs), training assessments and delivery, and other ad-hoc activities to support the responsibilities of both the Chief Compliance Officer and the President / FINOP.Experience navigating a Risk and Control Self-Assessment (RCSA) and a bank’s operational risk management framework are required.Experience with Archer / RSA Archer, WorldCheck, Protogent/PTA, and SMARSH are a plus, but not required.Position TypeFull timeCompensation DetailsPay 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:$118,389.23 USDMedian:$160,923.00 USDIncentive 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 InformationRegions offers a benefits package that is flexible, comprehensive and recognizes that "one size does not fit all" for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes, which is not intended to be a complete summary of plan terms and conditions.Paid Vacation/Sick Time401K with Company MatchMedical, Dental and Vision BenefitsDisability BenefitsHealth Savings AccountFlexible Spending AccountLife InsuranceParental LeaveEmployee Assistance ProgramAssociate Volunteer ProgramPlease 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 click or copy the link below to your browser.Location DetailsBlackarchLocation:Charlotte, North CarolinaEqual Opportunity Employer/including Disabled/VeteransJob 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.SummaryLocation: Charlotte, NC - Blackarch OfficeType: Full time