Job Description
Join our dynamic team at Apex Financial Group as a Compliance Officer and start making an impact tomorrow! We're seeking a detail-oriented professional to ensure our operations adhere to federal, state, and industry regulations. This role offers competitive compensation, flexible contract terms, and the opportunity to work with industry leaders in LA's thriving financial sector.
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, CFPB) to update compliance policies
- Conduct internal audits and risk assessments across business units
- Develop and implement compliance training programs for staff
- Investigate potential violations and prepare remediation reports
- Collaborate with legal and executive teams on compliance strategy
- Maintain accurate compliance documentation and reporting
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years compliance experience in financial services
- Strong knowledge of CA and federal regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Advanced analytical and problem-solving skills
- Proficient in compliance management software (e.g., ComplianceEase)
- Exceptional written and verbal communication abilities