Job Description
Join Nashville Financial Group as an immediate-hire Compliance Officer and drive regulatory excellence in our dynamic financial services environment. This critical role ensures adherence to federal and state regulations while safeguarding our clients' interests. You'll collaborate with cross-functional teams to implement robust compliance frameworks and mitigate risks. If you're a detail-oriented professional passionate about regulatory integrity, this is your opportunity to make an immediate impact in Nashville's thriving financial sector.
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures accordingly
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and deliver compliance training programs for staff
- Investigate potential violations and recommend corrective actions
- Prepare detailed reports for senior management and regulatory bodies
- Liaise with legal counsel on compliance-related matters
- Ensure adherence to AML, KYC, and SEC regulations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Knowledge of FINRA, SEC, and state regulations
- Strong analytical and problem-solving abilities
- Excellent written and verbal communication skills
- Certified Regulatory Compliance Manager (CRCM) preferred
- Proficiency with compliance software and MS Office Suite
- Ability to thrive in fast-paced, deadline-driven environments