Job Description
Join our dynamic team as a Compliance Officer in Memphis, TN, where your expertise will drive regulatory excellence. We're offering a $15,000 sign-on bonus for qualified candidates who can safeguard our operations and ensure adherence to federal regulations. This role is perfect for detail-oriented professionals passionate about maintaining ethical standards in a fast-paced financial environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Provide comprehensive compliance training to staff across all departments
- Investigate and resolve regulatory inquiries and enforcement actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Stay current on evolving regulatory changes and update policies accordingly
Qualifications
- Bachelor's degree in Finance, Business, or related field required
- Minimum 5 years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation preferred
- Strong knowledge of SEC regulations and FINRA rules
- Exceptional analytical skills with attention to detail
- Proven ability to interpret complex regulatory requirements
- Excellent written and verbal communication skills