Job Description
Join the Elite Compliance Team in Music City
Are you a detail-oriented professional passionate about regulatory frameworks? Summit Financial Partners is seeking a highly skilled Compliance Officer to join our growing team in Nashville, TN.
In this pivotal role, you will ensure our operations align with federal and state regulations, safeguarding our reputation and client interests. We offer a competitive salary, comprehensive benefits, and a dynamic work environment.
Why Join Us?
- Competitive Salary & Bonus Structure
- Comprehensive Health & Wellness Benefits
- Flexible Work Arrangements
- Professional Development Opportunities
Responsibilities
- Monitor regulatory updates (SEC, FINRA, State laws) and ensure timely policy implementation.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Coordinate with external auditors and regulators during examinations.
- Develop and deliver compliance training programs for staff and management.
- Investigate internal reports of potential policy violations.
- Maintain accurate records and documentation for regulatory reporting.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- Minimum of 3-5 years of experience in a compliance or risk management role.
- In-depth knowledge of banking, financial services, or investment regulations.
- Strong understanding of AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols.
- Excellent analytical, problem-solving, and interpersonal skills.
- Professional certification (CAMS, CFP, CFA) is highly preferred.