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Open nowPosted today

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

regions472 open roles

Where
Charlotte, NC - Blackarch Office
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Your applicationOpen nowInvestment Banking Compliance/Supervision Analyst- FINRA Series 9/10 or 24regions · Charlotte, NC - Blackarch Office

  1. YouYes, apply to this one.

  2. CV RocketCV written for this posting.

  3. 25 readersRecruiter, hiring manager, skeptic. Round after round.

  4. CV RocketApplied on regions's own form.

The reply lands in your private mailbox

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The clock on this job

Early applications get read.

13.7% of postings close within 7 days. Measured by our own scanner across the market. regions postings stay open a median of 15 days.

Share of postings closed within
  1. 2.3%1 day
  2. 4.8%3 days
  3. 13.7%7 days
  4. 22.1%14 days
  5. 37.6%30 days
  6. 59.1%60 days
This job: posted today

regions median: 15 days open

The posting

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 procedures
  • May prepare and review compliance reports for management
  • May serve as a subject matter expert and/or team lead to junior level 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
  • Seven (7) 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 to include: Word, Excel, and Access
  • Strong communication and organizational skills
  • Strong verbal and written communication skills and strong interpersonal skills

BlackArch 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 attestations
  • Managing the Associated Persons register, including licensing and registration requirements
  • Provide compliance oversight for the disclosure of Personal Brokerage Account
  • Managing Branch locations, including inspections
  • Identifying, maintaining, and training Branch Managers and Persons-in-Charge
  • Reviewing Electronic Communications
  • Reviewing Marketing/Advertising materials
  • Supporting Lexicons for Electronic Communication reviews
  • Performing OFAC checks and perform daily screening reviews
  • Recordkeeping
  • Supporting the RFMA Regulatory Control environment: Control ownership, development, maintenance, and process mapping
  • Facilitating Regions Compliance Reviews / Testing
  • Identifying and recommending continued program and process improvements

The 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 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:

$118,389.23 USD

Median:

$160,923.00 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

Regions 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 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 click or copy the link below to your browser.

https://www.regions.com/about-regions/welcome-portal/benefits

Location Details

Blackarch

Location:

Charlotte, North Carolina

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.

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