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Banking Attorney in Birmingham, AL

Regions Financial Corporation Jul 29,2016 Jun 17,2016 Location USA Birmingham AL
This job is expired...

In-House

Attorney

Finance - Banking

Litigation - Whistleblower - CFTC

Min 5 yrs required

Profile

Compliance Specialist Responsibilities: Assists with monitoring and review activities to detect compliance problems and with documentation. Assists in gathering information requested by regulatory agencies. Perform independent testing, monitoring, reporting and oversight activities as defined by the Compliance Program, including identification and recommendations related to implementation, maintenance, and ongoing enhancements. Maintain a proficient knowledge of applicable rules and regulations, including but not limited to SEC, FINRA, state securities and MSRB and the impact on BlackArch Securities LLC, including compliance with banking rules and regulations which may impact the business group. Actively participate in projects/initiatives which promote efficiencies and/or stronger control environments in the line(s) of business. Responsible for conducting independent analyses to ensure compliance with regulatory requirements and assessing risk to the organization, while monitoring for patterns and trends to identify potential compliance or regulatory issues. Responsible for identification and recommendations related to creation of additional oversight metrics, controls and reporting. Responsible for assessing and reporting on the quality of compliance by line(s) of business in conjunction with the Compliance Program. Assist in developing recommendations to line(s) of business related to products, services, policies and procedures to ensure compliance with regulatory requirements and best practices. Assist in researching matters as necessary to determine scope and impact to the line(s) of business in evaluating compliance with regulatory requirements and adequate controls. Serve as second line of defense and provide guidance, and act as a supportive resource to first line of defense business partners to ensure compliance with policies, procedures and applicable rules and regulations.

Qualification and Experience

Requirements: The candidate should have a Bachelor's degree or JD degree with at least 1 year of work experience and 5 years of related experience. Proficiency in Microsoft Office Suite required. Excellent written and verbal communication skills. Detail oriented. Able to work independently. Compliance monitoring and/or audit skills. Solid knowledge of securities laws and regulations, regulatory guidance and principles. Experience in communicating and interacting with all levels of management. Ability to work under pressure and attention to detail is essential. FINRA Series 7 and 24 preferred but not required or significant work experience with an applicable regulatory agency. 3 - 5 years of broker dealer compliance or business unit supervisory experience with some time in a bank environment preferred. Ability to work independently and to analyze and evaluate data and facts. Experience in compliance testing and oversight or auditing, Proficiency in Microsoft Excel, Word, Access and PowerPoint and Thomson Reuters.

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