Job Description
Join our dynamic team as an immediate-hire Compliance Officer and become a guardian of regulatory excellence in Nashville's thriving financial sector. We're seeking a detail-oriented professional to ensure our organization maintains full compliance with federal regulations, industry standards, and internal policies. This is a high-impact role offering competitive compensation and the opportunity to shape our compliance framework in a growth-oriented environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and state regulations
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Investigate potential violations and recommend corrective actions
- Stay current on regulatory changes and update policies accordingly
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, or related field (or equivalent experience)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and Tennessee state regulations
- Certified Compliance & Ethics Professional (CCEP) preferred
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software and MS Office Suite
- Excellent written and verbal communication skills
- Ability to thrive in a fast-paced, deadline-driven environment