Job Description
Join our dynamic finance team as a Compliance Officer and make an immediate impact! At Apex Financial Group, we're seeking a detail-oriented professional to safeguard regulatory integrity while driving business growth. This is your opportunity to transition into a rewarding career with competitive benefits and a collaborative work environment. Start tomorrow and begin shaping compliance excellence in Irvine's thriving business landscape.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with federal regulations (SEC, FINRA, OCC)
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare detailed regulatory reports and maintain accurate documentation
- Train staff on compliance protocols and regulatory updates
- Collaborate with legal and executive teams on policy development
- Investigate potential violations and recommend corrective actions
- Stay current on evolving regulatory landscapes through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and banking compliance frameworks
- Excellent analytical and problem-solving abilities
- Professional certifications (CRCM, CAMS, or CCEP) highly desirable
- Exceptional written and verbal communication skills
- Proficiency with compliance software and data analysis tools
- Ability to prioritize tasks and meet strict deadlines