Job Description
Are you a detail-oriented professional with a passion for regulatory excellence? Apex Compliance Solutions is seeking a highly skilled Compliance Officer to join our dynamic team in Tucson, AZ. We are committed to maintaining the highest standards of integrity and regulatory adherence in the industry. If you are looking for a challenging role where you can make a significant impact on organizational risk management, we want to hear from you.
As a Compliance Officer, you will play a pivotal role in safeguarding our company against regulatory risks and ensuring our operations align with federal, state, and local laws. We offer a competitive benefits package, including health insurance, 401(k) matching, and professional development opportunities.
Responsibilities
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Monitor changes in federal and state regulations to ensure our policies remain current and effective.
- Develop, implement, and maintain comprehensive compliance programs and internal control systems.
- Prepare and file necessary regulatory reports with accuracy and timeliness.
- Provide training and guidance to staff on compliance standards, ethical conduct, and regulatory requirements.
- Investigate internal complaints or violations and recommend corrective actions.
- Collaborate with legal counsel and senior management to resolve complex compliance issues.
Qualifications
- Bachelor’s degree in Business Administration, Finance, Law, or a related field.
- 3-5 years of progressive experience in compliance, auditing, or risk management.
- Strong working knowledge of relevant regulatory frameworks (e.g., FINRA, SEC, state banking/compliance laws).
- Excellent analytical, verbal, and written communication skills.
- Ability to interpret complex regulations and apply them to business operations.
- Professional certification (CCEP, CFA, JD, or CPA) is highly preferred.