Compliance and Quality Services Manager

Regions Financial Corporation

$100K — $200K *

Atlanta, GA 30301
+ 2 other locations

1w ago


8 - 10 years of experience

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Job Description

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 Manager leads a team of first line of defense risk management experts that advise on business and/or product decisions. Associates at this level ensure that all compliance activities within their area of expertise follow the necessary rules and regulations, contribute to process change and redesign in addition to developing business plans, policies, and procedures to support a specific line of business.

Primary Responsibilities

Oversees large team of professional level compliance staff and compliance efforts for designated business unit

Serves as a subject matter expert, leading the implementation and execution of testing compliance controls

Leads discussions with business partners, communicating compliance testing plan, and reviews risks identified from testing

Supports business unit by collaboratively facilitating the development of processes and procedures to ensure regulatory compliance, including participation in team meetings, business process improvement efforts, and compliance improvement initiatives

Maintains extensive knowledge of rules and regulations and their impact on products, services, and operations for a specific line of business

Develops policies and procedures to comply with federal regulations and applicable state laws

Provides guidance to various departments regarding compliance issues and implementation of new compliance requirements with respect to regulatory language

Ensures timely, accurate, and appropriate submission of information requested by regulatory agencies

Oversees complex compliance projects and initiatives specific to designated line of business

Develops and executes training programs to ensure adherence to established policies and procedures

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

This position is incentive eligible.


Bachelor’s degree and ten (10) years of directly related experience and six (6) years of management experience

Or High School Diploma or GED and fourteen (14) years of directly related experience and six (6) years of management experience

Knowledge of legal and regulatory environment as it relates to compliance in a specific line of business


Master’s degree

Certified Regulatory Compliance Manager (CRCM)

Skills and Competencies

Ability to learn additional systems as needed

Ability to research, analyze data, and derive facts

Ability to supervise and manage a team

Ability to work under pressure and meet deadlines

Demonstrated leadership capabilities

Proficiency in Microsoft Office (Excel, Word, PowerPoint, Outlook, etc.)

Strong verbal, written communication, and organizational skills

Strong work ethic and self-motivation

Additional Responsibilities

The Compliance and Quality Services Manager is responsible for leading a team of first line of defense risk management experts that advise Technology, Operations, Digital and Data (TODD) teams on Compliance Risk and Quality Control. This role is vital to ensuring consistent execution of risk programs and strategies to ensure effective risk management. This position will report directly to the Head of Enterprise Operations and Technology Risk.

Responsible for leading teams that execute first line of defense Compliance and Quality Control functions for Enterprise Operations

Provides strategic insight into framework enhancements and the operating model of TODD Risk Management

Collaborates with first line and second line partners to ensure appropriate compliance and quality control coverage across the Enterprise

Drives the program strategy for Compliance and Quality Control teams

Identifies areas for process improvements and program enhancements

Advises partners on key compliance issues and provide guidance

Drives the execution of Risk program components, including frameworks, reporting, policies, and procedures across TODD

Identifies, monitors, and reports Compliance Risks that are emerging for the Enterprise through review and testing of controls within the environment

Advises on plans, priorities, and challenges within TODD to ensure Compliance Risk and Quality Control impacts are appropriately considered and evaluated

Builds a trusting team culture that is equipped with knowledge and training to advise and effectively manage risk

Provides Project Management of multiple initiatives while adhering to deadlines

Creates a coaching environment that consists of regular informal and formal feedback

Obtains and maintains necessary training to keep current on the discipline of Risk Management

Solves a range of complex problems and consistently provide solutions

Additional Expectations of Knowledge/Skills

Ability to effectively communicate and influence vision and strategy

Consistently provide informal and formal coaching of team members

Ability to quickly adapt to dynamic environment

Advanced organizational skills and the ability to effectively manage a team

Ability to drive process and change while collaborating with team members to establish milestones and deadlines

Strategic thinker with the ability to influence and transfer ideas and best practices between projects

Effective Communicator with the ability to demonstrate command of risk topics

Ability to build strong partnerships with stakeholders

Position Type

Full time

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 national range and level of the position.

Job Range Target:


$114,690.50 USD


$179,850.00 USD

Incentive Pay Plans:

This role is eligible to participate in the annual discretionary incentive plan. Employees are eligible to receive a discretionary award based on individual, business, and/or company performance.

Opportunity to participate in the Long Term Incentive Plan.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.

Location Details

Riverchase Operations Center


Hoover, Alabama

Bring Your Whole Self to Work

We have a passion for creating an inclusive environment that promotes and values diversity of race, color, national origin, religion, age, sexual orientation, gender identity, disability, veteran status, genetic information, sex, pregnancy, and many other primary and secondary dimensions that make each of us unique as individuals and provide valuable perspective that makes us a better company and employer. More importantly, we recognize that creating a workplace where everyone, regardless of background, can do their best work is the right thing to do.

OFCCP Disclosure: Equal Opportunity Employer/Disabled/Veterans.

About Regions Financial Corporation

Learn More About Regions Financial Corporation
Regions Financial Corporation is a bank holding company headquartered in the Regions Center in Birmingham, Alabama. The company provides retail banking and commercial banking, trust, stockbrokerage, and mortgage services. Regions operates approximately 1,500 banking offices and 2,000 ATMs across the South, Midwest, and Texas. The company's banking subsidiary, Regions Bank, operates approximately 1,400 branches and 2,000 ATMs across a 15-state network.
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