Senior Compliance Officer
2 months ago
FHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department including testing and surveillance.
Primary Responsibilities
- Implement policies and procedures of the firm
- Ability to evaluate and administer new regulations and implement any change needed
- Surveillance of daily and monthly trading activity
- Completion of regulatory rule and business practice reviews and testing
- Delivery of subject matter training to employees
Experience, Skills, and Knowledge Required
- Bachelors Degree in Accounting, Finance, or Business
- Minimum 5 yrs. experience in broker-dealer Compliance or equivalent in legal, compliance or audit
- Series 7 and 63 licenses required
- Series 24 and 53 preferred or ability to obtain promptly after hire
- Solid working knowledge of the regulatory principles: MSRB, Federal Reserve, SEC, and FINRA
- Effective experience communicating and interacting with senior management, finance, operations, internal audit, information technology and other departments
- Can work under pressure, independently, and in a timely fashion
- Ability to recognize and elevate regulatory and compliance issues to the next level of management
- Desire to advance in the department and assume more responsibility and risk
- Proficient with Microsoft Office products, Bloomberg, and other industry software
Preferred location in Memphis, TN.
About Us
First Horizon is a leading regional financial services company, dedicated to helping our clients, communities and associates unlock their full potential with capital and counsel. With $81.7 billion in assets as of December 31, 2023, we serve clients through a team of approximately ~7,300 associates and ~418 banking centers throughout the southeastern United States. Headquartered in Memphis, TN, the banking subsidiary First Horizon Bank operates in 12 states across the southern U.S. First Horizon has been recognized as one of the nation’s best employers by Fortune and Forbes magazines and a Top 10 Most Reputable U.S. Bank.
Benefit Highlights
• Medical with wellness incentives, dental, and vision
• HSA with company match
• Maternity and parental leave
• Tuition reimbursement
• Mentor program
• 401(k) with 6% match
• More -- FirstHorizon.com/First-Horizon-National-Corporation/Careers/Our-Benefits
Corporate Diversity Commitment:
We remain committed to creating a more equitable society, and that starts with our associates, our clients, and the communities we serve. We do this by elevating equity, providing capital and counsel, and committing to excellence in everything we do.
-
Senior Compliance Officer
2 months ago
Memphis, United States FHN Financial Full timeFHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department including testing and surveillance.Primary ResponsibilitiesImplement policies and procedures of the firmAbility to...
-
Senior Compliance Officer
1 month ago
Memphis, United States FHN Financial Full timeFHN Financial is seeking an experienced, licensed Compliance Officer to provide primary compliance surveillance, reporting, and guidance for all aspects of a broker-dealer and a bank dealer and offer general support to the compliance department including testing and surveillance.Primary ResponsibilitiesImplement policies and procedures of the firmAbility to...
-
Senior Security Officer
1 month ago
Memphis, United States Smith+Nephew Full timeLife Unlimited. At Smith+Nephew, we design and manufacture technology that takes the limits off living. The Senior Security Officer provides leadership, direction, mentorship, and training to security officers in the assigned shifts. They ensure all aspects of security and protective services for Smith+Nephew employees and property. What will you be...
-
Risk Consultant III
3 weeks ago
Memphis, Tennessee, United States First Horizon Bank Full timeOverviewWe are seeking a highly skilled Risk Consultant III to join our team at First Horizon Bank. In this role, you will be responsible for conducting testing of all Products and Services to ensure compliance with applicable regulations.About UsFirst Horizon is a leading regional financial services company dedicated to helping our clients, communities, and...
-
Chief Aviation Officer
3 weeks ago
Memphis, Tennessee, United States Silver Tree Residential, LLC Full timeJob SummarySilver Tree Residential, LLC is seeking an experienced Corporate Pilot to join our team. As a key member of our organization, you will be responsible for operating our aircraft safely and efficiently, ensuring compliance with FAA regulations and company policies.About UsSilver Tree Residential, LLC is one of the fastest-growing property management...
-
Environmental Compliance Specialist
2 months ago
Memphis, United States The Bolton Group Full timeEnvironmental Compliance Specialist (Stormwater)Richmond, VA-100% in-office/in-field (no hybrid/no remote)Position Overview:As an Environmental/Stormwater Compliance Specialist, you will play a key role in supporting our commitment to environmental stewardship and regulatory compliance. This position offers an exciting opportunity for individuals passionate...
-
Senior Administrative Officer to Chief Executive
3 weeks ago
Memphis, Tennessee, United States TriSearch Full timeAbout the RoleWe are seeking a highly skilled and experienced Senior Administrative Officer to join our team at TriSearch as Chief Executive's trusted right-hand person.Key Responsibilities:• Executive Support: Provide exceptional administrative support to the Chief Executive, including scheduling meetings, appointments, and travel arrangements. Prioritize...
-
Financial Crimes Compliance Specialist
3 weeks ago
Memphis, Tennessee, United States Evolve, LLC Full timeJob Title: Financial Crimes Quality Control AnalystAt Evolve, LLC, we are seeking a highly skilled Financial Crimes Quality Control Analyst to join our team. As a key member of our compliance department, you will play a critical role in ensuring the effectiveness of our financial crimes compliance program.Main Responsibilities:Review and evaluate financial...
-
Senior Research Nurse Coordinator
2 weeks ago
Memphis, Tennessee, United States Regional Medical Center of Memphis Full timeJob DescriptionThis is a senior-level position responsible for overseeing the management of multiple research projects in the Regional One Health Office of Medical Research. The incumbent will be required to perform oversight and implementation of multiple clinical trials assigned for ROH research, ensuring overall productivity and compliance with protocols.
-
Environmental Compliance Specialist
6 months ago
Memphis, United States GPM Full timeOverview The Environmental Compliance Specialist is responsible for, among other duties; providing support the regional environmental manager, interacts with regulatory agencies, monitors leak detection and compliance testing of the underground storage tanks systems, monitors and controls spending, and coordinates emergency response for...
-
Memphis, United States InsideHigherEd Full timeJob Title:Associate Director of Annual Giving/Senior Development OfficerDepartment:VP DevelopmentJob Description:Rhodes College will be closed for Winter Break December 21, 2024- January 5, 2025. The Associate Director of Annual Giving/Senior Development Officer is responsible for procuring annual, restricted, and deferred gifts to the College in accordance...
-
Senior Human Resources Director
6 days ago
Memphis, Tennessee, United States ALLWORLD PROJECT MANAGEMENT LLC Full timeJob DescriptionAs a Senior Human Resources Director at Allworld Project Management LLC, you will play a pivotal role in fostering a dynamic and inclusive culture, driving organizational development, and championing our most valuable asset: our associates.About the Role:This leadership position requires a seasoned human resources professional who can lead and...
-
Regional Compliance Specialist
3 weeks ago
Memphis, United States WinnCompanies Full timeWinnCompanies is looking for a Regional Certification Specialist to join our team located in Memphis, TN. The Regional Compliance Specialist is responsible for ensuring that all policies and procedures from WinnResidential and affordable housing agencies are communicate to, and implemented by site managers and senior staff within the assigned portfolio. You...
-
Senior Project Engineer
2 weeks ago
Memphis, United States Matrix PMO Full timeDescription MATRIX is seeking a Sr. Project Engineer to join our team. The Senior Project Engineer will lead high-complexity nuclear projects across one of our clients' project portfolios throughout the US. This role will be pivotal to the success of their heavy-lift operations, ensuring technical precision, safety, and compliance in challenging...
-
Executive Office Coordinator
17 hours ago
Memphis, Tennessee, United States First Horizon Bank Full timeJoin our team as an Executive Administrative Assistant at First Horizon Bank and take your career to the next level!As a key member of our team, you will be responsible for providing administrative support to our senior leadership and ensuring the smooth operation of our office.With a strong background in Microsoft Office and excellent communication skills,...
-
Senior Operations Manager
3 weeks ago
Memphis, Tennessee, United States Impact Fire Services Full timeLocated in Memphis, Tennessee, Impact Fire Services is a leading fire protection and life safety company with over 30 district offices across the United States. As a senior operations manager, you will be responsible for driving financial and operational goals while providing exceptional customer service.The estimated salary for this position is around...
-
Senior Operations Manager
3 weeks ago
Memphis, Tennessee, United States Impact Fire Services Full timeAbout UsAt Impact Fire Services, we pride ourselves on being a leading provider of fire protection solutions. With over 30 district offices across the United States, we serve a diverse range of industries, including retail, healthcare, education, and restaurants.Job SummaryThis is a senior operations management position that reports to Regional and Senior...
-
Senior Grants Accountant
3 weeks ago
Memphis, United States Robert Half Full timeJob DescriptionJob DescriptionWe are on the hunt for a Senior Grants Accountant in the MEMPHIS, Tennessee area. The role involves ensuring financial integrity and transparency in the management of awarded sponsored programs. As a Senior Grants Accountant, you'll be tasked with managing post-award financial activities, reconciling accounts, monitoring...
-
Chief Technology Strategy Officer
7 hours ago
Memphis, Tennessee, United States St. Jude Children's Research Hospital Full timeAbout the RoleWe are seeking a highly skilled and experienced Chief Technology Strategy Officer to join our Strategic Technology and Transformation Office at St. Jude Children's Research Hospital.In this critical role, you will play a pivotal part in driving strategic decisions and enhancing operational efficiency within our Information Services...
-
Senior Quality Assurance Specialist
1 day ago
Memphis, Tennessee, United States Johnson & Johnson Full timeAt Johnson & Johnson, we believe health is everything. Our strength in healthcare innovation empowers us to build a world where complex diseases are prevented, treated, and cured, where treatments are smarter and less invasive, and solutions are personal.Job Title: Senior Quality Assurance SpecialistWe are currently recruiting for a Senior Quality Assurance...