First Horizon Bank
FHNF COMPLIANCE OFFICER SR
First Horizon Bank - Memphis, Tennessee, us, 37544
Work at First Horizon Bank
Overview
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Overview
Description
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 Corp. (NYSE: FHN)
, with $82.6 billion in assets as of September 30, 2024, is a leading regional financial services company, dedicated to helping our clients, communities and associates unlock their full potential with capital and counsel. Headquartered in Memphis, TN, the banking subsidiary First Horizon Bank operates in 12 states across the southern U.S. The Company and its subsidiaries offer commercial, private banking, consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable U.S. Bank. More information is available at www.FirstHorizon.com (https://urldefense.com/v3/__https:/www.firsthorizon.com/__;!!Cz2fjcuE!hpq9hPnrucZCPIAVPojVESItIq-FPzhurNdCrQ3JE8Rkx3gMd70nIk6_kmPxl66_oJCEsXs0gNunPowMAMHCmBYPOtUxUGI$) .
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.
Follow Us
Facebook (https://www.facebook.com/FirstHorizonBank)
X formerly Twitter
LinkedIn (http://www.linkedin.com/company/first-horizon-bank)
Instagram
YouTube (https://www.youtube.com/channel/UCEVs5OMj-b0H9Dr5Q209_-Q)
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)
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 Corp. (NYSE: FHN)
, with $82.6 billion in assets as of September 30, 2024, is a leading regional financial services company, dedicated to helping our clients, communities and associates unlock their full potential with capital and counsel. Headquartered in Memphis, TN, the banking subsidiary First Horizon Bank operates in 12 states across the southern U.S. The Company and its subsidiaries offer commercial, private banking, consumer, small business, wealth and trust management, retail brokerage, capital markets, fixed income, and mortgage banking services. First Horizon has been recognized as one of the nation's best employers by Fortune and Forbes magazines and a Top 10 Most Reputable U.S. Bank. More information is available at www.FirstHorizon.com (https://urldefense.com/v3/__https:/www.firsthorizon.com/__;!!Cz2fjcuE!hpq9hPnrucZCPIAVPojVESItIq-FPzhurNdCrQ3JE8Rkx3gMd70nIk6_kmPxl66_oJCEsXs0gNunPowMAMHCmBYPOtUxUGI$) .
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.
Follow Us
Facebook (https://www.facebook.com/FirstHorizonBank)
X formerly Twitter
LinkedIn (http://www.linkedin.com/company/first-horizon-bank)
YouTube (https://www.youtube.com/channel/UCEVs5OMj-b0H9Dr5Q209_-Q)
Equal Opportunity Employer/Protected Veterans/Individuals with Disabilities
The contractor will not discharge or in any other manner discriminate against employees or applicants because they have inquired about, discussed, or disclosed their own pay or the pay of another employee or applicant. However, employees who have access to the compensation information of other employees or applicants as a part of their essential job functions cannot disclose the pay of other employees or applicants to individuals who do not otherwise have access to compensation information, unless the disclosure is (a) in response to a formal complaint or charge, (b) in furtherance of an investigation, proceeding, hearing, or action, including an investigation conducted by the employer, or (c) consistent with the contractor’s legal duty to furnish information. 41 CFR 60-1.35(c)