Capital Markets Compliance Function Manager- Municipal Securities

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.

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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. Associates at this level have 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

• Conducts compliance reviews and provides oversight of legal entities, business units, and processes
• Advises leadership on business and/or product decisions
• Provides requested information to regulatory agencies and advises management on potential and ongoing compliance issues
• Maintains proficient knowledge of rules and regulations and their impact on products, services and operations for a specific line of business
• Assists in resolving complex problems or transactions, where expertise is required to interpret against policies, guidelines or processes
• Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
• Creates and delivers training to assigned business area to increase compliance awareness
• Gathers 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

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 in 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

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

Candidates with the following FINRA licenses, or ability to obtain, are very strongly preferred:

• Series 52/53 Municipal Securities
• Series 24 General Securities Principal
• Series 79 Investment Banking
• Additional licenses that are applicable to the core job responsibilities (with the exception of RIA licenses) may be taken into consideration for continued registrations.

 

This position will require a minimum of 4 days in our Birmingham, AL, Atlanta, GA, or Charlotte, NC corporate office.

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:

$155,976.70 USD

Median:

$211,040.00 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.Opportunity to participate in the Long Term Incentive Plan.

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

Regions Center

Location:

Birmingham, Alabama

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.