COMPLIANCE OFFICER II - First Horizon National Corporation : Job Details

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 Bachelor's 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 Effec...Compliance Officer, Compliance, Officer