Job Description
Join our award-winning financial services team in Nashville and start your compliance career tomorrow! We're seeking a meticulous Compliance Officer to safeguard our regulatory integrity while driving operational excellence. Enjoy competitive compensation, hybrid work options, and rapid advancement opportunities in Tennessee's thriving finance hub.
What You'll Gain:
- Industry-leading compliance training and certification support
- Hybrid work schedule with downtown Nashville office
- Comprehensive benefits package including 401k matching
Responsibilities
- Develop and implement compliance programs aligned with SEC, FINRA, and state regulations
- Conduct risk assessments and internal audits across financial operations
- Monitor regulatory changes and update policies within 48-hour response time
- Train 50+ employees annually on compliance protocols and ethical standards
- Prepare comprehensive reports for executive leadership and regulatory bodies
- Collaborate with legal team on regulatory filings and enforcement responses
- Lead cross-functional compliance initiatives for new product launches
Qualifications
- Bachelor's degree in Finance, Business, or Law (MBA/JD preferred)
- 3+ years compliance experience in financial services or regulated industry
- Active CCEP or CRCM certification required
- Advanced proficiency in compliance software (e.g., OnBase, LogicGate)
- Demonstrated success in regulatory reporting and audit management
- Expert knowledge of FINRA Rule 2010 and SEC guidance
- Exceptional analytical skills with attention to detail