Wealth Management Business Unit Compliance Analyst

Thank you for your interest in a career  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.

At Regions, the Business Unit Compliance Analyst is a first line of defense risk management function that ensures that business unit activities follow necessary rules and regulations and comply with legal boundaries and jurisdictions. Associates at this level are expected to contribute to workflow or process change and redesign, and to form a strong basic understanding of the specific product or process within a specific line of business.

Focus is on execution within defined parameters, with some expansion based on developing capabilities and or experiences.

• Maintains a proficient knowledge of rules and regulations and their impact on products, services, and operations for a specific line of business
• Establishes partnerships with line of business leadership and serves as a consultant on issues related to compliance
• Conducts research of laws and regulations that impact the business unit compliance to include partnering with the second line of defense to assess new laws and regulations or changes to existing laws and regulations and how they impact the business group
• Researches potential violations to determine potential compliance needs and escalates issues as needed for resolution
• Reviews processes and procedures to identify gaps or potential issues
• Administers a monitoring and testing program to ensure effective compliance with all applicable laws and regulations
• Delivers training to assigned line of business to increase compliance awareness
• Gathers information requested by regulatory agencies
• Assists with the development of business group policies and procedures

This position is exempt from timekeeping requirements under the Fair Labor Standards Act and is not eligible for overtime pay.

• Bachelor’s degree and three (3) years of experience in Compliance, Quality Assurance/Control, Audit, or other related compliance function specific to a line of business
• Or High School Diploma or GED and seven (7) years of experience in Compliance, Quality Assurance/Control, Audit, or other related compliance function specific to a line of business

• Master’s degree

• Ability to learn additional systems as needed
• Ability to research, analyze data, and derive facts
• Ability to work in a team environment when applicable
• Ability to work autonomously, with minimal guidance
• Ability to work under pressure and meet deadlines
• Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, etc.)
• Strong verbal, written communication, and organizational skills
• Strong work ethic and self-motivation

• Perform ongoing monitoring and surveillance of first‑line activities to ensure adherence to internal policies, procedures, and regulatory requirements
• Execute control testing and quality assurance reviews to assess the effectiveness of business processes and controls
• Identify, investigate, and document exceptions, anomalies, or control gaps, and elevate issues as appropriate
• Conduct data analysis using Excel, Power Query, and Tableau to support surveillance activities and uncover trends or risks
• Develop and maintain automated reports, dashboards, and monitoring tools to enhance efficiency and transparency
• Perform data validation and reconciliation to ensure accuracy and completeness of surveillance outputs
• Stay informed of emerging risks, regulatory changes, and industry best practices to continuously improve surveillance efforts
• Experience with Excel pivot tables, creating formulas
• Experience with Excel Power Query for data extraction, transformation, and automation
• Experience using Tableau for dashboard creation and data visualization
• Strong understanding of data analysis and data quality validation techniques
• Ability to work with large and complex datasets
• Familiarity with data…