Job Description
Join our award-winning team at Apex Financial Solutions as a Compliance Officer in the heart of Raleigh's thriving financial district. We're seeking a meticulous professional to safeguard our operations through rigorous regulatory adherence while fostering an ethical culture that drives business excellence. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for career advancement in a dynamic environment.
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal (SEC, FINRA) and state regulations
- Conduct regular risk assessments and internal audits to identify compliance vulnerabilities
- Provide comprehensive regulatory guidance to stakeholders across 15+ business units
- Lead investigations of compliance breaches and recommend corrective actions
- Design and deliver engaging compliance training programs for 500+ employees
- Stay current on regulatory changes through continuous research and industry networking
- Collaborate with legal counsel to ensure policy updates reflect evolving requirements
Qualifications
- Bachelor's degree in Finance, Business Administration, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industries
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification required
- Expert knowledge of FINRA, SEC, and North Carolina state regulations
- Advanced proficiency in compliance management software (e.g., MetricStream, RSA Archer)
- Exceptional analytical and problem-solving abilities with meticulous attention to detail
- Strong written/verbal communication skills with experience presenting to executive leadership
- Proven track record of developing and implementing effective compliance frameworks