Job Description
Join our dynamic compliance team at Nashville Financial Solutions, where we prioritize excellence and innovation in regulatory adherence. We provide all necessary equipment to ensure your success in this critical role. As a key member of our organization, you'll safeguard our operations against regulatory risks while contributing to a culture of integrity and accountability.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct thorough internal audits and risk assessments across departments
- Monitor regulatory changes and update policies/procedures accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Collaborate with legal and operational teams to ensure cohesive compliance frameworks
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA/SEC regulations and Tennessee state laws
- Professional certifications (CRCM, CAMS, or CCEP) highly valued
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance software and reporting tools
- Excellent communication skills with ability to train diverse audiences
- Proven track record of developing and implementing compliance programs