Compliance Associate | Franklin, TN
Full Time, In Person
We help people fast-track their freedom and live more fulfilling lives.
Ready to roll up your sleeves and join an energetic team, passionate about what they do? Welcome to Abound Wealth Management: we provide hands-on wealth management that simplifies the complex so we can bring peace to financial planning and prepare people for a brighter, more secure future.
Here's What This Role Looks Like:
- Work directly with our Chief Compliance Officer and team as a collaborator and mentee. Learn the overall strategy, coordinate with our third-party compliance consultant, and play an integral role in an energetic and growing firm, committed to the continued improvement and growth of our culture of compliance.
- Take charge of synthesizing, improving, and maintaining our calendar of compliance-related checks and balances firm-wide. Manage tasks such as our our annual compliance program review, testing reviews, testing program results, and periodic risk assessments across departments, then document them accordingly.
- Know the regulatory issues, make sure our bases are covered, and equip our growing team with action steps to maintain our culture of compliance. Lead quarterly, firm-wide compliance trainings. Empower team members with guidance and feedback as we continue to incorporate compliance priorities into everyday work-life and processes. Build a robust and working knowledge of regulatory issues over time, including Abound’s written policies and procedures.
Here's What This Role Looks Like:
- Organized: Can utilize systems to effectively keep track of multiple compliance initiatives at once
- Self-reliant: Comes up with ideas and solutions on their own, when needed
- An Excellent Communicator: Can distill a large collection of information into easy-to-understand instructions; seamlessly communicates that information to Abound team members, third-party consultants, and regulators.
- On Brand: Displays a thorough understanding of our tone, mission, and culture of compliance; has the heart of an educator
- A Team Player: Willing to listen, learn, and share ideas as the team grows and develops new projects; appreciates the legacy of the firm, supports the founders’ vision
Nice to Haves:
- 4 year degree in Finance or related field
- Prior experience with a financial services firm
Hard Skills:
- Affinity for understanding and adhering to a specified standard of conduct
- Ability to translate complex, academic concepts into palatable, real-world examples
- Strong knowledge of personal finance
- Proficiency in Microsoft Excel
- Proficiency in Microsoft Powerpoint
Why Abound Wealth?
Culture: We’re all about being humble, hungry to try new things and succeed, and people smart. If you check those boxes, there’s no doubt you’ll thrive here. You’ll fit right in with a group of people who enjoy each others’ company, love seeing the impact of what we do, and find ourselves belly-laughing every day. We respect each other and have fun together.
Benefits: We’ll hook you up with employer subsidized health insurance, a competitive 401(k) match, and a generous amount of paid holidays and vacation time.
Location: Our studio is right on the square of historic (and picturesque) Downtown Franklin, TN! We’re proud to be part of this vibrant community of shops, restaurants, and businesses, just 20 minutes south of Nashville.
Mission: At the end of the day, we’re all about getting life-changing financial strategies to anyone who’s hungry for it. We’re on a mission to build a more beautiful tomorrow – and that fills us with purpose each day. Are you in?