Job Description
Are you a detail-oriented professional passionate about regulatory frameworks and ethical business practices? Apex Regulatory Services is seeking a dedicated Compliance Officer to join our growing team in the heart of Anaheim. In this direct-hire position, you will play a pivotal role in ensuring our operations adhere to local, state, and federal regulations.
We offer a competitive salary, comprehensive benefits package, and a collaborative work environment. If you have a knack for navigating complex compliance landscapes and want to make a tangible impact, we want to hear from you.
Why Join Us?
- Competitive Pay: Annual salary between $75,000 and $95,000.
- Benefits: Health, dental, vision, and 401(k) matching.
- Work-Life Balance: Flexible scheduling and remote work options.
- Growth: Clear pathways for career advancement within the industry.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program aligned with federal and state regulations.
- Monitor changes in regulatory requirements and assess the impact on company policies and procedures.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Investigate reported violations and recommend corrective actions to management.
- Provide training and guidance to staff on compliance standards and ethical business conduct.
- Prepare detailed reports for executive leadership and regulatory bodies.
Qualifications
- Bachelor’s degree in Finance, Business Administration, Law, or a related field.
- Minimum of 3-5 years of experience in a compliance or regulatory role.
- Strong working knowledge of financial regulations (e.g., FINRA, SEC, or equivalent industry standards).
- Excellent analytical skills with the ability to interpret complex data and regulations.
- Experience with internal audit methodologies and risk management frameworks.
- Certification as a Certified Compliance & Ethics Professional (CCEP) or equivalent is a plus.