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Compliance Officer
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- Come join our team of Wealth Management, Trust, Estate Administration, and Corporate Retirement Plan professionals who proudly help clients achieve their dreams.
- The Compliance Officer, located in Knoxville, TN, will be responsible for monitoring the wealth management and trust compliance program and advising the CLO on significant risk and compliance issues.
- The Compliance Officer will be tasked with implementing procedures to ensure that the compliance programs in wealth management and trust are effective and efficient in identifying, preventing, detecting, and correcting noncompliance with applicable laws, regulations, and company policies.
- Oversees wealth management and trust compliance-including testing and monitoring functions, documenting findings, and offering meaningful recommendations.
- Advises management on existing and new regulations in the areas of banking and wealth management as they occur and how they affect the firm and its clients.
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