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.

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.

Primary Responsibilities

• 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.

Requirements

• 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
• Or 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

Preferences

• Master’s degree

Skills and Competencies

• 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

Additional Responsibilities and Skills

• Maintains a proficient knowledge of rules and regulations and their impact on Wealth Management products, services, and operations
• Demonstrates proficient knowledge of marketing and advertising review and supervision
• Exceptional verbal and written communication skills

This position may be filled at a higher level depending on the candidate’s qualifications and relevant experience.

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:

$64,673.95 USD

50th Percentile:

$82,690.00 USD

Incentive Pay Plans:

This job is not incentive eligible.

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.