Job Description
Join our dynamic team as an immediate-hire Compliance Officer in Nashville! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risk in the financial services sector. This is your chance to make an immediate impact while advancing your compliance career in Music City's thriving business environment.
Responsibilities
- Monitor and interpret federal/state regulations (SEC, FINRA, FFIEC) for financial institutions
- Develop/implement compliance policies and procedures
- Conduct internal audits and regulatory examinations
- Prepare compliance reports for executive leadership
- Train staff on regulatory updates and best practices
- Manage compliance documentation and record retention
- Collaborate with legal and risk management teams
- Respond to regulatory inquiries and examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services
- FINRA Series 24 or 26 license required
- Strong knowledge of banking regulations and AML protocols
- Advanced proficiency in compliance software (e.g., NASD, Bloomberg)
- Exceptional analytical and problem-solving skills
- Proven ability to communicate complex regulations clearly
- Experience with compliance risk assessments