Wealth Management Compliance Officer

First Horizon Bank•Memphis, TN

52d•Onsite

About The Position

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.

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
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.

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.