Wealth Management Compliance Officer II, Memphis-TN
Job description
About Us
First Horizon Corp. (NYSE: FHN), with approximately $90 billion in assets, 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, mortgage, and title insurance 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.
In this role, the Wealth Management Compliance Officer will apply industry knowledge when responding to inquiries and requests while ensuring client protection. This individual is expected to increase their knowledge and application of the laws, regulations, products and ethical standards of the securities industry.
- Enforce the firms written supervisory policies and procedures, continually assess them to identify improvement opportunities and work with Compliance and other Departments to enhance them.
- Assist in the review and approval of new account openings.
- Review communications for words/phrases/context that have been identified as red flags
- Review and assess suitability associated with select new accounts and/or products.
- Daily review of product and service offerings utilizing various tools and expertise to discover, escalate, resolve and follow-up on issues. Associate will need to investigate, document and follow-up.
- Review and analyze select trade situations and work with the field to resolve.
- Escalate issues as warranted and provide relevant recommendations as to appropriate actions to be taken.
- Partner with Managing Directors in the field to help them resolve exceptions in a timely manner.
- Provide support to other Principal Review Desk members with projects and initiatives.
- Proactively evaluate controls and identify opportunities for enhancements.
Job Requirements:
- Bachelor’s Degree
- Excellent interpersonal, verbal, and written communication skills; ability to liaise with all levels of management and to work effectively in a team environment
- Appropriate state(s) Life & Health Insurance Licenses required
- Series 7 and 24 required
- Investment product sales process and product knowledge preferred
- Retail brokerage and/or annuity experience preferred
- Proficient in Microsoft Office applications
- Strong attention to detail, organization and analytical skills
- Pro-active, motivated and enthusiastic
- Ability to coordinate with others, set and achieve goals, and resolve problems while maintaining a strong sense of teamwork
- Good research, analytical and problem solving skills
- Effective time management skills in order to meet service level agreements and/or project deadlines
- Ability to process tasks and resolve issues in a timely and accurate manner while demonstrating accountability in all work responsibilities
- Prioritizes time well, adapts to changing priorities and multiple demands
- Ability to excel in a fast-paced, changing environment
- Ability to focus on detail while effectively handling multiple responsibilities with high degree of accuracy
- 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
Follow Us
Facebook - facebook.com/FirstHorizonBank
Twitter - twitter.com/FirstHorizonBnk
LinkedIn - linkedin.com/company/first-horizon-bank
Instagram - instagram.com/first_horizon
YouTube - 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)
blackflymedia.com is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, blackflymedia.com provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, blackflymedia.com is the ideal place to find your next job.