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.
