Job Description
Join our dynamic team in Memphis as a Compliance Officer and play a pivotal role in safeguarding our organization's integrity. You will be the guardian of regulatory compliance, ensuring adherence to federal and state regulations while fostering a culture of ethical conduct. This is your opportunity to make a tangible impact in a rapidly evolving financial landscape with competitive benefits and career growth opportunities.
Responsibilities
- Monitor and interpret regulatory changes to update compliance policies and procedures
- Conduct internal audits and risk assessments across all business units
- Develop and deliver comprehensive compliance training programs for employees
- Investigate and resolve compliance violations through thorough documentation
- Collaborate with legal and executive teams on regulatory reporting requirements
- Maintain accurate compliance records and documentation systems
- Act as primary liaison with regulatory bodies during examinations
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of SEC, FINRA, and AML regulations
- Certification such as CCEP, CAMS, or CRCM required
- Exceptional analytical and problem-solving abilities
- Advanced proficiency in compliance software and data analysis tools
- Proven experience managing compliance audits and investigations