Job Description
Join our dynamic compliance team at Apex Financial Partners and become a guardian of regulatory excellence in Denver's thriving financial sector. We're seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes and safeguard our organization's integrity. This hybrid role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a collaborative environment.
Responsibilities
- Monitor and interpret federal, state, and local regulations (SEC, FINRA, CFPB)
- Develop and implement compliance policies and procedures
- Conduct internal audits and risk assessments
- Train staff on regulatory requirements and ethical standards
- Investigate and resolve compliance violations
- Prepare regulatory reports and maintain audit trails
- Collaborate with legal and executive teams on compliance strategy
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance experience in financial services
- Relevant certifications (CRCM, CAMS, CCEP preferred)
- Strong knowledge of FINRA/SEC regulations
- Exceptional analytical and problem-solving skills
- Advanced proficiency in compliance software (e.g., Diligence, Alacer)
- Excellent written and verbal communication abilities