Investment Banking Compliance/Supervision Analyst (FINRA Series 9/10 or 24)

Location: Charlotte, North Carolina, United States

Salary range target: $118,389.23 minimum to $160,923.00 median USD, plus discretionary incentive eligibility.

Company

hirify.global provides banking and capital markets services, with this role supporting the Regions Financial M&A Services LLC regulatory compliance program.

What you will do

• Monitor legal entity and business unit activity for compliance with laws, regulations, and internal procedures.
• Facilitate Forms U4, U5, fingerprints, onboarding, annual and ad-hoc attestations, and associated-person registration requirements.
• Oversee personal brokerage account disclosures, branch locations and inspections, branch managers, and persons-in-charge.
• Review electronic communications and marketing or advertising materials, including support for communication-review lexicons.
• Perform OFAC checks, daily screening reviews, recordkeeping, and compliance reports for management.
• Support the regulatory control environment through control ownership, process mapping, compliance testing, written supervisory procedures, training, and process improvements.

Requirements

• Bachelor's degree.
• Seven years of banking experience concentrated in audit, compliance, or regulatory functions.
• Experience navigating a Risk and Control Self-Assessment and a bank's operational risk management framework.
• Ability to analyze data and facts, learn additional systems, work with limited supervision, meet deadlines, and carefully manage regulatory, reputational, legal, and financial risks.
• Excellent organizational, verbal, written, communication, and interpersonal skills.
• Proficiency with Microsoft Word, Excel, and Access.
• FINRA Series 9/10 or 24 qualification is specified in the role title.

Nice to have

• Experience with Archer/RSA Archer, WorldCheck, Protogent/PTA, or SMARSH.

Culture & Benefits

• Full-time, exempt position not eligible for overtime pay.
• Performance-based discretionary incentive plan eligibility.
• Paid vacation and sick time, 401(k) with company match, and medical, dental, and vision benefits.
• Disability benefits, health savings account, flexible spending account, life insurance, and parental leave.
• Employee assistance and associate volunteer programs.

Hiring process

• Applications are accepted electronically through the Regions career site for at least five business days after posting and may close earlier or remain open longer based on business needs.