Wealth Management Business Unit Compliance Analyst

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. Regions is dedicated to taking appropriate steps to safeguard and protect private and personally identifiable information you submit. The information that you submit will be collected and reviewed by associates, consultants, and vendors of Regions in order to evaluate your qualifications and experience for job opportunities and will not be used for marketing purposes, sold, or shared outside of Regions unless required by law. Such information will be stored in accordance with regulatory requirements and in conjunction with Regions’ Retention Schedule for a minimum of three years. You may review, modify, or update your information by visiting and logging into the careers section of the system. Job Description: 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 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 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 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 escalate 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 reconciliation, exception reporting, and trend analysis   Knowledge of surveillance frameworks, controls testing, and monitoring methodologies   Experience performing first-line activity monitoring, including identifying control gaps and anomalies   Ability to develop comprehensive test scripts, procedures, and user guides   Strong understanding of risk and control concepts ( e.g.   operational risk, compliance risk)   Strong critical thinking and investigative skills   Ability to   identify   patterns, anomalies, and emerging risks   Root cause analysis and ability to recommend corrective actions   Detail-oriented with a high degree of accuracy and quality control   Strong organizational and time management skills   Ability to work independently and manage multiple priorities   High level   of integrity and professionalism    Collaborative mindset with ability to work cross-functionally   This position may be filled at a