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. 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.

• 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

• 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

• Master’s degree
• Certified Regulatory Compliance Manager Certification (CRCM)

• 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

• 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.

Full time

Pay ranges are job specific and are provided as a point‑of‑market reference for compensation decisions. Other factors directly impact pay, including experience, skills, knowledge, contribution, job location and performance in the job role.

Minimum:

$ USD

Median:

$ USD

This role is eligible to participate in a discretionary incentive plan. Employees may receive a discretionary award based on performance against defined metrics and goals. Opportunity to participate in the Long Term Incentive Plan.

• 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

Regions Center

Location:

Birmingham, Alabama

Equal Opportunity Employer/including Disabled/Veterans