Job Description
Join our dynamic team as an Immediate Hire Compliance Officer in Nashville, TN! We're seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in the financial services sector. This is your opportunity to make an immediate impact while advancing your compliance career in Music City's thriving business landscape. Enjoy competitive compensation, comprehensive benefits, and a collaborative work environment. Apply today and start your new role within 48 hours!
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, state laws)
- Develop/implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Train staff on compliance requirements
- Investigate and resolve compliance violations
- Prepare regulatory reports and disclosures
- Collaborate with legal and business units
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance/regulatory experience
- FINRA Series 63/65/66 licenses preferred
- Strong knowledge of financial regulations
- Excellent analytical and problem-solving skills
- Advanced proficiency in MS Office Suite
- Certified Compliance & Ethics Professional (CCEP) a plus