Wealth Management Compliance Officer
First Horizon Bank
Memphis, TN
JOB DETAILS
SKILLS
Americans with Disabilities Act (ADA), Analysis Skills, Auditing, Banking Services, Brokerage, Capital Markets, Commercial Banking, Communication Skills, Computer Skills, Customer Experience, Detail Oriented, ERISA (Employee Retirement Income Security Act of 1974), FMLA (Family and Medical Leave Act of 1993), Fiduciary, Finance, Financial Services, Fixed Income Investments, Inventory Management, Legal, Licensing, Maintain Compliance, Marketing, Microsoft Excel, Microsoft Office, Microsoft PowerPoint, Microsoft Windows Operating System, Microsoft Word, Mortgage, Organizational Skills, Presentation/Verbal Skills, Private Banking, Regulations, Regulatory Compliance, Retail, Risk, Risk Analysis, Risk Management, Securities, Small Business, Staff Training, Test Program, Time Management, Wealth Management
LOCATION
Memphis, TN
POSTED
2 days ago
Location: Onsite in Memphis, TN; Knoxville, TN or Winston Salem, NC
Weekly Schedule: Monday-Friday, 8am-5pm
The Senior Compliance Officer is primarily responsible for helping to ensure adherence to the rigorous standards of compliance with all regulatory processes and procedures promulgated by Federal and State regulators. The Senior Compliance Officer is responsible for adherence to First Horizon Trust Division Policies and Procedures. Other responsibilities include managing audit requests, testing program, risk-based compliance program, and maintaining appropriate books and records. The Senior Compliance Officer will also serve as back up for other Compliance roles and duties.
Essential Duties and Responsibilities:
- Develop, implement, and monitor a risk-based compliance management program
- Provide audit support and monitoring of the program
- Evaluate business activities to assess compliance risk and advise management of such risks.
- Ensure adherence to sound internal controls by ongoing monitoring of BWise (Control) inventory.
- Work with internal partners such as Bank Compliance (Compliance Testing) as well as external partners (consultants) to ensure effective testing program.
- Assist in reviewing and revising as needed the compliance policies and procedures.
- Educate and train employees on regulations, industry practices and address employee compliance and legal concerns.
- Assist other compliance officers, including the COO with special projects, as needed.
- Other areas of compliance include, but are not limited to, Licensing, Marketing, Regulatory Requests Complaints, Branch Inspection Program, Supervisory Support, Training, and other compliance related matters regarding the Trust Division.
Education and/or Work Experience Requirements:
- Bachelor's Degree
- Minimum of 3 years Trust Management and Risk Management Experience
- In-depth knowledge of Trust, financial and securities industry practices and professional standards
- Working knowledge of ERISA, Fiduciary and Trust practices
- Must be extremely detail oriented, analytical, and organized
- Ability to communicate effectively with internal and external partners
- Ability to present data in a clear, concise, and easy to interpret manner
- Willing to assist team members when needed
- Capable of thriving in a fast-paced environment while delivering a friendly customer experience
- Ability to adapt to change quickly while meeting aggressive deadlines
- Computer literacy in Microsoft Office: Windows, Excel, Word, PowerPoint
Physical Requirements:
- Basic keyboarding or other repetitive motions
- Must be able to talk, listen and speak clearly on telephone
- Ability to maintain regular, punctual attendance consistent with the ADA, FMLA and other federal, state and local standards
- Ability to safely and successfully perform the essential job functions consistent with or without the ADA, FMLA and other federal, state and local standard, including meeting qualitative and/or quantitative productivity standards.
About Us
First Horizon Corporation is a leading regional financial services company, dedicated to helping our clients, communities and associates unlock their full potential with capital and counsel. Headquartered in Memphis, TN, the banking subsidiary First Horizon Bank operates in 12 states across the southern U.S. The Company and its subsidiaries offer commercial, private banking, consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income, and mortgage banking services. 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. More information is available at www.FirstHorizon.com .
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
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