Senior Risk Compliance Officer-Wealth

Location: On site at location listed in job posting.

Summary:

The primary responsibility of this position is to conduct testing of all Products and Services to all applicable regulations in which Corporate Compliance has oversight responsibility, with a primary focus on Wealth Management and Trust. Must have knowledge of state and federal laws and regulations related to Wealth Management and Trust Compliance. Must have transferrable skills that demonstrate the knowledge and ability to interpret and vet laws and regulations. The ability to analyze large sets of data in a timely manner. This job involves the exercise of discretion and judgment. Exhibits a sense of urgency, adheres to deadlines (both internal and those required by law) and meets department quality standards for accuracy and completeness of work.

Essential Duties and Responsibilities:

• Coordinate with business partners to gather appropriate information to complete all required testing reviews.
• Must have a proficient level of knowledge of the various laws, regulations and rulings. Must be able to research and interpret the requirements of the regulations
• Proficient knowledge of banking products and services
• Exercise discretion and judgment identifying risk/control gaps that may have an adverse impact; and the ability to communicate issues and root causes effectively to the CT Director and the business unit.
• Responsible for consistent and timely completion of all assigned reviews, including SWAT reviews, with minimal supervision and corrections. Completion of assigned reviews includes but is not limited to developing or updating testing steps, preparing request letter, effectively communicating with management throughout the review, providing timely status and potential issue updates to the Compliance Testing (CT) Director, issuance of preliminary findings to management, reviewing management responses to determine adequacy
• This position requires the safekeeping and complete confidentiality of all customer transactions and information, including that of other bank personnel.
• Using sound judgement when communicating and discussing findings with the CT Director; and assisting the CT Director to ensure corrective action implemented satisfactorily addresses any issues noted.
• Maintaining necessary workpaper standards to meet the requirements of internal partners (Internal Audit) and regulatory agencies (FRB, CFPB, etc.).
• Assist with the coordination of information requests including preparation of requested items while maintaining a workload balance to ensure timely completion of all assignments
• Communicate as required with appropriate senior management and examiners concerning review findings and corrective action.
• Maintaining a commitment to continuous learning and developing knowledge and skills to competently and efficiently execute assignments.
• Proactively communicates with management when a deadline is in jeopardy of not being met.
• Must be proactive and take the initiative to assist with ad-hoc departmental projects and have the ability to maintain timely completion of assigned reviews while assisting with the ad-hoc departmental projects

Qualifications:

To perform this job successfully, an individual must be able to perform each essential duty satisfactorily. Additionally, the qualifications listed below are representative of the knowledge, skills, and/or abilities required in this position:

1. Bachelor (4-year college) degree
2. Financial Institution experience required (4-6 years). Risk Management and/or compliance background preferred (2-4 years). Background in preparing for internal (Compliance Testing and/or Audit) and external (regulatory) examinations preferred. Accurate typing, spelling and grammar skills. Proficient with applicable computer software. Strong research, written and oral communication skills. Strong organizational and customer service skills. Ability to read and interpret legal documents and government regulations and work well under pressure. Proficient knowledge of Banking Products and Services required. Legal Background preferred. Must possess a high level of organizational skills, ability to multi-task and manage workflow, prioritize, adjust to changes, and follow-up. Must possess a high level of analytical, problem solving, and critical thinking skills. Must possess strong written, verbal, and interpersonal skills.

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.

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.

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