Job Description
Join a Premier Team in Philadelphia, PA
Are you a detail-oriented professional with a passion for regulatory excellence? Apex Financial Solutions is seeking a dedicated Compliance Officer to join our dynamic team. We are committed to maintaining the highest standards of integrity and regulatory adherence in the financial sector.
In this pivotal role, you will act as the guardian of our organization's compliance posture, ensuring we navigate the complex landscape of financial regulations with confidence and precision.
Responsibilities
- Monitor and ensure strict adherence to internal policies, federal, state, and local regulations, and industry standards.
- Conduct regular internal audits and risk assessments to identify potential compliance vulnerabilities.
- Prepare and maintain comprehensive compliance reports for senior management and regulatory bodies.
- Develop and deliver training programs to educate staff on compliance policies and legal requirements.
- Investigate potential violations or breaches and recommend corrective actions to mitigate risk.
- Stay abreast of changes in legislation and regulatory guidance to ensure the organization remains compliant.
Qualifications
- Bachelor's degree in Finance, Law, Business Administration, or a related field is required.
- Minimum of 3-5 years of experience in compliance, risk management, or auditing within the financial services industry.
- Strong knowledge of SEC regulations, FINRA rules, and state banking laws.
- Excellent analytical skills with the ability to interpret complex regulatory documents.
- Proficient in Microsoft Office Suite and compliance management software.
- Strong verbal and written communication skills, with the ability to present complex information clearly.