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 requires meticulous attention to detail and proactive risk mitigation in a fast-paced financial environment. Enjoy competitive benefits, professional development opportunities, and a collaborative culture that values innovation and compliance excellence.
Responsibilities
- Monitor and interpret regulatory changes (e.g., FINRA, SEC, AML) to ensure organizational compliance
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and implement compliance policies, procedures, and training programs
- Collaborate with legal, operations, and audit teams to resolve compliance issues
- Prepare detailed compliance reports for senior management and regulatory bodies
- Lead investigations into potential violations and recommend corrective actions
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years of compliance experience in financial services or regulated industry
- Strong knowledge of federal/state regulations (e.g., Dodd-Frank, BSA)
- Certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional analytical skills and attention to detail
- Excellent written/verbal communication and presentation abilities
- Proficiency with compliance software (e.g., RSA Archer, LogicGate)