Job Description
About Apex Financial Solutions
We are a premier financial institution committed to fostering a secure, transparent, and innovative environment for our clients and employees. As we expand our operations in Denver, we are seeking a highly skilled and detail-oriented Compliance Officer to lead our regulatory efforts and ensure our business practices align with federal and state laws.
The Role
In this pivotal position, you will be the guardian of our integrity, ensuring that our organization navigates the complex landscape of financial regulations with confidence. You will work closely with executive leadership to develop robust compliance programs, conduct thorough risk assessments, and mitigate potential threats before they arise.
Why Join Us?
• Competitive salary and comprehensive benefits package.
• Professional development opportunities in a fast-paced industry.
• Collaborative and inclusive company culture.
Responsibilities
- Monitor changes in financial regulations and ensure company policies are updated accordingly.
- Conduct internal audits and risk assessments to identify compliance gaps and implement corrective actions.
- Oversee the KYC (Know Your Customer) and AML (Anti-Money Laundering) processes.
- Investigate potential violations of internal policies or external laws and recommend disciplinary actions.
- Prepare and present compliance reports to the Board of Directors and regulatory bodies.
- Train employees on regulatory requirements and company ethical standards.
- Develop and maintain a comprehensive compliance calendar for tracking deadlines.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s preferred).
- Minimum of 4-6 years of experience in a compliance, risk management, or auditing role within the financial sector.
- Strong knowledge of SEC regulations, FINRA rules, and banking compliance standards.
- Excellent analytical and problem-solving skills with keen attention to detail.
- Proficiency in compliance management software and Microsoft Office Suite.
- Strong verbal and written communication skills, capable of explaining complex regulations to non-technical stakeholders.
- Certification such as CRCM or CFE is highly desirable.