Senior Compliance Officer

1 week ago

memphis, United States FHN Financial Full time

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 weeks ago

    Memphis, United States FHN Financial Full time

    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 ResponsibilitiesImplement policies and procedures of the firmAbility to...

  • Senior Compliance Officer

    5 days ago

    Memphis, United States FHN Financial Full time

    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 ResponsibilitiesImplement policies and procedures of the firmAbility to...

  • Senior Compliance Officer

    5 days ago

    Memphis, TN, United States FHN Financial Full time

    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 ResponsibilitiesImplement policies and procedures of the firmAbility to...

  • Compliance Officer

    3 weeks ago

    Memphis, Tennessee, United States VRC Companies Full time

    Job SummaryWe are seeking a highly skilled Compliance Specialist to join our team at VRC Companies, LLC. The ideal candidate will have a strong background in regulatory compliance and a proven track record of ensuring adherence to industry standards and internal policies.Key Responsibilities:Develop and implement comprehensive compliance programs to ensure...

  • Audit Senior

    4 weeks ago

    Memphis, Tennessee, United States Hire Resolve USA Full time

    Job Title: Audit Senior - SOX Compliance ExpertHire Resolve USA is seeking a highly skilled Audit Senior to join our team in the banking sector. As a SOX compliance expert, you will play a critical role in ensuring compliance with Sarbanes-Oxley requirements.Responsibilities:Lead SOX compliance audits for various banking functionsAssess the effectiveness of...

  • Audit Senior

    4 weeks ago

    Memphis, Tennessee, United States Hire Resolve USA Full time

    Job Title: Audit Senior - SOX Compliance ExpertHire Resolve USA is seeking a highly skilled Audit Senior to join our team. As a SOX compliance expert, you will play a critical role in ensuring the financial institution's compliance with Sarbanes-Oxley requirements.Key Responsibilities:Lead SOX compliance audits for various banking functionsAssess the...

  • Audit Senior

    3 weeks ago

    Memphis, Tennessee, United States Hire Resolve USA Full time

    Hire Resolve USA is seeking a highly skilled Audit Senior to join their team in the banking sector. As a SOX compliance expert, you will play a critical role in ensuring compliance with Sarbanes-Oxley requirements. Your responsibilities will include leading SOX compliance audits for various banking functions, assessing the effectiveness of internal controls...

  • Audit Senior

    3 weeks ago

    Memphis, Tennessee, United States Hire Resolve USA Full time

    Hire Resolve USA is seeking a highly skilled Audit Senior to join our team in the banking sector. As a key member of our audit team, you will play a critical role in ensuring compliance with Sarbanes-Oxley (SOX) requirements.This is an excellent opportunity to work with a prestigious financial institution, where you will be responsible for evaluating...

  • Senior Tax Accountant

    3 weeks ago

    Memphis, Tennessee, United States Virtual Full time

    Job Summary:Vaco Memphis is assisting our client in their search for a Senior Tax Accountant. The ideal candidate will have a strong background in tax compliance, including state and local income tax returns, and will be responsible for assisting in the company's quarterly and annual tax provisions.Responsibilities:The Senior Tax Accountant will be...

  • Senior Insurance Sales Representative

    3 weeks ago

    Memphis, Tennessee, United States American Senior Benefits Full time

    About the Role:We are seeking a highly motivated and driven individual to join our team as a Senior Insurance Sales Representative. As a representative of The Local Retirement Group by American Senior Benefits, you will have the opportunity to work with a hybrid sales organization that offers the best opportunity in insurance sales in the country.About...

  • Audit Manager

    3 weeks ago

    Memphis, Tennessee, United States University of Tennessee Full time

    Job SummaryThe University of Tennessee seeks a highly skilled and experienced Audit Manager to join the Office of Audit and Compliance. This is a critical role that requires a strong understanding of internal audit philosophy and practices, as well as excellent communication and leadership skills.Key ResponsibilitiesManage audit projects and investigations,...

  • Senior HR Director

    3 weeks ago

    Memphis, Tennessee, United States Vaco Full time

    Job SummaryWe are seeking a highly experienced and skilled HR Director to lead our human resources team. The ideal candidate will have a strong background in employee relations, HRIS implementation, and regulatory compliance.Key ResponsibilitiesHR Leadership: Lead and manage an HR team, including 4 HR professionals and 1 office coordinator. Oversee the full...

  • Senior Health Physicist

    4 weeks ago

    Memphis, Tennessee, United States St. Jude Children's Research Hospital Full time

    Senior Health PhysicistThe Senior Health Physicist plays a critical role in ensuring the safety of patients, staff, and the environment at St. Jude Children's Research Hospital. This position is responsible for administering the Radiation Safety Program, ensuring compliance with state and federal regulations, and providing technical assistance and guidance...

  • Audit Compliance Manager

    3 weeks ago

    Memphis, Tennessee, United States First Horizon Bank Full time

    Job Summary:The Audit Compliance Manager will lead the planning, scoping, execution, and reporting of regulatory compliance audits based on identified risks. This role is responsible for understanding and identifying the full range of risks related to processes, regulatory compliance, organization, policy, and technology.Key Responsibilities:Perform control...

  • Environmental Compliance Specialist

    4 weeks ago

    Memphis, Tennessee, United States The Bolton Group Full time

    Entry-Level Environmental Compliance Specialist (Stormwater)MEMPHIS, TN - 100% in-office/in-field (no hybrid/no remote)Position Overview:We are seeking an entry-level Environmental Compliance Specialist to support our commitment to environmental stewardship and regulatory compliance. This role offers an exciting opportunity for individuals passionate about...

  • Environmental Compliance Specialist

    4 weeks ago

    Memphis, Tennessee, United States The Bolton Group Full time

    Entry-Level Environmental Compliance Specialist (Stormwater)MEMPHIS, TN--100% in-office/in-field (no hybrid/no remote)Position Overview:As an Entry-Level 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...

  • Environmental Compliance Specialist

    3 weeks ago

    Memphis, United States The Bolton Group Full time

    Environmental 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...

  • Environmental Compliance Specialist

    1 month ago

    Memphis, United States The Bolton Group Full time

    Entry-Level Environmental Compliance Specialist (Stormwater)MEMPHIS, TN--100% in-office/in-field (no hybrid/no remote)Position Overview:As an Entry-Level 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...

  • Environmental Compliance Specialist

    3 months ago

    Memphis, United States The Bolton Group Full time

    Entry-Level Environmental Compliance Specialist (Stormwater)MEMPHIS, TN--100% in-office/in-field (no hybrid/no remote)Position Overview:As an Entry-Level 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...

  • Environmental Compliance Specialist

    2 months ago

    memphis, United States The Bolton Group Full time

    Entry-Level Environmental Compliance Specialist (Stormwater)MEMPHIS, TN--100% in-office/in-field (no hybrid/no remote)Position Overview:As an Entry-Level 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...