Job Description
Join our dynamic compliance team at Apex Financial Group, a leading financial institution committed to integrity and regulatory excellence. We're seeking a detail-oriented Compliance Officer to safeguard our operations and ensure adherence to federal, state, and industry regulations. This role offers a competitive compensation package, comprehensive benefits, and opportunities for professional growth in Los Angeles' thriving financial sector.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, CFPB, CA state laws)
- Develop and implement compliance policies, procedures, and training programs
- Conduct risk assessments and internal audits across business units
- Investigate and resolve compliance violations with corrective action plans
- Liaise with regulators during examinations and inquiries
- Prepare compliance reports for executive leadership and board committees
- Collaborate with legal, risk, and audit teams on compliance initiatives
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and California DBO regulations
- Certified Compliance & Ethics Professional (CCEP) designation required
- Expertise in risk assessment methodologies and control frameworks
- Exceptional analytical skills with attention to detail
- Proven ability to communicate complex regulations to non-technical stakeholders
- Experience with compliance management software (e.g., Compliance.ai, MetricStream)