Capital Markets Compliance Analyst — FINOP/RCSA Focus

Regions Bank; Charlotte (NC); On-site; USD 107,000 - 130,000; Full time

Benefits offered by this job

Paid Vacation/Sick Time

401K with Company Match

Medical, Dental and Vision

Disability Benefits

Health Savings Account

Flexible Spending Account

Life Insurance

Parental Leave

Employee Assistance Program

Volunteer Program

Job summary

Regions Bank is seeking a Capital Markets Compliance Analyst in Charlotte, NC. The role focuses on complex compliance tasks within the RFMA regulatory program, with oversight of Forms U4/U5, attestations, licensing, and branch inspections.

Collaboration with RFMA and Regions teams is essential to ensure robust compliance and risk management. Ideal candidates will have a strong background in banking compliance, risk assessments, and experience with electronic communications review and advertising

Qualifications

• Bachelor's degree required.
• Seven years of banking experience with audit, compliance or regulatory focus.

Responsibilities

• Monitor activity to ensure laws and internal procedures are followed.
• Prepare and review compliance reports for management.
• Lead junior analysts as subject matter expert.

Skills

Data analysis

Ability to learn systems

Work with limited supervision

Attention to deadlines

Organizational skills

MS Office

Communication

Interpersonal skills

Education

Bachelor's degree

Tools

Archer / RSA Archer

WorldCheck

Protogent/PTA

SMARSH

Job description

Regions Bank is seeking a Capital Markets Compliance Analyst in Charlotte, NC. The role focuses on complex compliance tasks within the RFMA regulatory program, with oversight of Forms U4/U5, attestations, licensing, and branch inspections.

Collaboration with RFMA and Regions teams is essential to ensure robust compliance and risk management. Ideal candidates will have a strong background in banking compliance, risk assessments, and experience with electronic communications review and advertising