Job Description
Join Nashville Financial Partners as a Compliance Officer and enjoy the unique benefit of weekly pay! We're seeking a detail-oriented professional to ensure regulatory adherence while driving our mission of financial integrity. This role offers immediate impact in a dynamic environment with competitive compensation and accelerated payment cycles.
You'll collaborate with cross-functional teams to implement robust compliance frameworks, mitigate risks, and uphold industry standards. Our commitment to professional development and work-life balance makes this an ideal opportunity for compliance specialists ready to advance their careers.
Responsibilities
- Monitor and enforce compliance with FINRA, SEC, and federal regulations
- Develop and implement internal control procedures and risk assessments
- Conduct periodic audits and investigations of financial activities
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory requirements and ethical standards
- Stay current on industry changes and advise on policy updates
- Coordinate with external auditors and regulatory agencies
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- FINRA Series 24 or 27 certification preferred
- Advanced knowledge of AML, KYC, and anti-fraud protocols
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Proficiency in compliance management software (e.g., ComplySci, Adenza)