Job Description
Join our dynamic team as a Compliance Officer in Memphis, TN, where you'll safeguard regulatory integrity and drive ethical excellence. This pivotal role ensures adherence to federal regulations (FINRA, SEC) and internal policies while fostering a culture of compliance across all operations. Ideal for detail-oriented professionals passionate about risk mitigation and operational transparency.
Responsibilities
- Monitor regulatory changes and implement compliance protocols across financial products
- Conduct internal audits and risk assessments for AML/KYC procedures
- Develop training materials for staff on compliance policies and procedures
- Investigate violations and recommend corrective actions to leadership
- Collaborate with legal and audit teams to resolve compliance issues
- Prepare detailed reports for regulatory submissions and board reviews
- Lead cross-departmental compliance initiatives and process improvements
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65 or 66 licensing required
- Proficiency in compliance software (e.g., NASD, Bloomberg)
- Strong knowledge of federal banking regulations and AML protocols
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication and presentation skills
- Ability to manage multiple priorities in a fast-paced environment