Business Unit Compliance Analyst at Regions managing compliance with regulations across various business units. Conducting research and training to ensure adherence to legal requirements and internal policies.
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
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
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