Governance Risk Compliance Wealth Management Analyst

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Job Description:

At Regions the Business Unit Operational Risk Analyst works within a given line of business to help ensure the line of business operations are conducted in compliance with regulatory and legal requirements and per the organizations policy. The analyst works as part of the first line of defense team and alongside the first line second line and enterprise support units to ensure the effective execution of the Operational Risk Framework across the assigned business line.

Job Description Specifics

The Business Unit Operational Risk Analyst will work within Wealth Management Risk Control to ensure alignment with Compliance Transformation to include new requirements established related to controls and control inventory regulatory inventory and business process mapping. This role will support ongoing and reoccurring Governance Risk and Compliance (GRC) activities and maintenance. This role requires strong analytical skills and the ability to collaborate across departments to drive impactful outcomes. The analyst will work in the first line across the lines of business in Wealth Management Risk Control.

Primary Responsibilities

• Conducts compliance reviews and provides analysis of business units and processes
• Maintains documentation and reports to management regarding compliance and potential issues
• Provides requested information tomanagement for reporting toagencies regarding Sarbanes Oxley Bank Secrecy Act/Anti-Money Launderingand Office of Foreign Assets Control compliance
• Provides analysis of the execution of our operational risk management framework including: risk and control self-assessments new initiative risk assessments operational risk/loss events scenario analysis emerging risk identification and front line risk assessments
• Analyzes compliance processes and reports to management comparing current process with identified process and policy
• Assists in the review of contracts agreements and statements of work
• Maintains an inventory of key controls across all areas of Wealth Management
• Tracks and updates regulatory inventory with changes affecting Wealth Management activities.
• Facilitates risk related mapping associated with business process mapping.
• Additional support and function will be expanded as capacity allows.

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

Requirements

• Bachelors degree in a related field and three (3) years experience in finance risk or operations with experience in the specific business line operations
• Or High School Diploma or GED and seven (7) years experience in finance risk or operations with experience in the specific business line operations

Skills and Competencies

• Attention to detail
• Excellent analytical and management reporting skills
• Excellent communications skills
• Organizational and time management skills
• Risk Management
• Strong critical thinking skills
• Ability to manage multiple priorities
• Comfortable working in fast-paced dynamic environment

Preferences

• Familiarity with control inventory regulatory inventory risk related business process mapping functions.
• Familiarity with GRC tooling for risk assessment controls and compliance
• Experience using GRC platforms or integrated risk management systems
• Proven ability to support GRC workflows reporting and control testing
• Experience working within GRC functions or initiatives
• Experience in risk management and compliance frameworks

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

Position Type

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:

Median:

Incentive Pay Plans:

Benefits Information

Regions offers a benefits package that is flexible comprehensive and recognizes that one size does not fit all for benefits-eligible associates. Listed below is a synopsis of the benefits offered by Regions for informational purposes which is not intended to be a complete summary of plan terms and conditions.

• 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

Please note benefits and plans may be changed amended or terminated with respect to all or any class of associate at any time. To learn more about Regions benefits please click or copy the link below to your browser.

DetailsRiverchase Complex North Building

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