Job Description
Join Nashville Financial Partners as a Compliance Officer and enjoy the flexibility of weekly pay while ensuring regulatory excellence in the heart of Tennessee's financial hub. We're seeking a detail-oriented professional to uphold our commitment to integrity and regulatory adherence in a dynamic, supportive environment.
Responsibilities
- Develop, implement, and maintain compliance programs aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct regular audits and risk assessments to identify compliance gaps
- Prepare detailed reports for senior management and regulatory bodies
- Train staff on compliance policies and procedures
- Monitor industry trends and update protocols as needed
- Investigate and resolve compliance violations promptly
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance/regulatory experience in financial services
- Strong knowledge of FINRA/SEC regulations
- Excellent analytical and problem-solving skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficient in compliance software and MS Office Suite
- Exceptional written/verbal communication abilities