Job Description
Join our dynamic compliance team at Nashville Financial Solutions, where we prioritize your success by providing all necessary equipment for seamless operations. As a key member of our regulatory affairs department, you'll ensure adherence to federal and state compliance standards while safeguarding our organization's integrity. We offer a collaborative environment with cutting-edge tools to support your professional growth and impact.
Responsibilities
- Develop and implement compliance monitoring programs aligned with FINRA, SEC, and state regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare comprehensive compliance reports for executive stakeholders
- Train staff on regulatory updates and procedural changes
- Manage vendor compliance documentation and due diligence
- Investigate and resolve compliance violations with corrective action plans
- Stay current with evolving regulatory landscape through continuous education
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Professional certification (CRCM, CAMS, or CCEP) preferred
- Proficiency in compliance software (e.g., MetricStream, Wolters Kluwer)
- Strong analytical skills with attention to regulatory detail
- Excellent written communication for policy development
- Ability to work independently in a fast-paced environment
- Knowledge of Tennessee state financial regulations