Compliance Associate

Nashville, Tennessee
$42,000.00 - $52,000.00 per year
Jul 08, 2024
Aug 07, 2024
Education Level
4 Year Degree

Duties and Responsibilities


  • Completing all BSA/AML and KYC/CIP verifications on new and existing client accounts
  • Perform research of federal and state regulations to ensure internal policies and procedures are compliant with regulatory requirements and update policies and procedures accordingly
  • Become an integral member of the team, acting as a resource for company associates by answering their procedural and documentation inquiries, consumer compliance related issues, as well as investigating any inappropriate and/or fraudulent activity
  • Monitor and review various company reports and alerts, document, research and report transactions as needed within regulatory timelines
  • Analyze accounts, based on risk, on a random and periodic basis
  • Assist in other compliance related functions to ensure complying with company policy and regulations
  • Collaborate with upper management to ensure decisions are also based on the company’s current risk assessment, associated with the company’s activities, to promote a safe and sound financial banking environment
  • Perform all duties in compliance with BSA/AML regulations and requirements
  • Work with regulators and auditors, as needed
  • Participate in ongoing training relating to the job and any other training programs as required
  • Reviewing marketing collateral and website information to ensure compliance
  • Duties described above are not meant to cover or contain a comprehensive listing of all this role encompasses. The duties and responsibilities may be subject to change at any time, with or without notice.

Required Skills/Abilities:

  • Capable problem solver, with the ability to identify and resolve issues in a timely manner
  • Strong analytical skills and attention to details, with an aptitude for research, collecting data, and reviewing
  • High degree of initiative as it relates to overseeing and completing, from start to finish, large projects
  • Ability to effectively communicate verbally and written, courteously and professionally, in positive or negative situations.
  • Solid interpersonal skills with the ability to keep calm under pressure, remain civil, and open to ideas from others
  • Performs well as an individual and within a team; demonstrates objectivity and openness to working with others in order to create a positive environment
  • Efficient with Microsoft Word, Excel, Outlook, Teams


Education and Experience:

  • Bachelors degree in Accounting, Business, or Finance;
  • Five years of banking, audit, or financial services experience; or equivalent combination of education and experience required
  • CISP preferred.
  • Compliance certification(s) are a plus.  


Physical Requirements:

  • Prolonged periods sitting at a desk and working on a computer.
  • Must be able to lift 15 pounds at times.
  • Able to stand and walk for a minimum of 3 hours in an eight-hour workday.
  • Hand use: continuous keyboarding, frequent simple grasping, and occasional fine manipulation
  • Occasional bending, reaching, and twisting (waist level)

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