Job Description
Apex Financial Services is seeking a detail-oriented Compliance Officer to join our dynamic team in Los Angeles, CA. This full-time role offers the unique benefit of weekly pay to ensure financial flexibility and stability for our employees. As a key member of our risk management division, you'll safeguard our organization against regulatory breaches while fostering a culture of compliance excellence.
We offer competitive compensation, comprehensive benefits, and a collaborative environment where your expertise makes a tangible impact. If you're passionate about regulatory integrity and want to join a forward-thinking financial institution, apply today to start your journey with us.
Responsibilities
- Monitor and ensure adherence to federal, state, and financial industry regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Develop and implement compliance policies and procedures across all departments
- Train employees on regulatory requirements and ethical standards
- Investigate and resolve compliance violations with corrective action plans
- Stay updated on regulatory changes (e.g., FINRA, SEC, CFPB) and advise leadership
- Prepare detailed compliance reports for stakeholders and regulatory bodies
- Collaborate with legal and audit teams to ensure cohesive risk management
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- Minimum 3+ years of compliance experience in financial services
- Strong knowledge of financial regulations and industry standards
- Certification (CCEP, CAMS, or CFCP) preferred
- Exceptional analytical and problem-solving abilities
- Proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Excellent written communication and documentation skills
- Ability to thrive in a fast-paced, regulated environment