Job Description
Join Apex Financial Group as a Compliance Officer and become a guardian of regulatory excellence in Durham's dynamic financial sector. We're offering a competitive compensation package including a $15,000 sign-on bonus for qualified candidates who join our award-winning compliance team. This role is perfect for detail-oriented professionals passionate about safeguarding organizations through rigorous regulatory adherence while enjoying North Carolina's thriving tech hub lifestyle.
Our ideal candidate will thrive in a fast-paced environment where precision meets innovation. You'll collaborate with cross-functional teams to ensure compliance with federal regulations (FINRA, SEC, OCC) while contributing to our industry-leading compliance framework. At Apex Financial Group, we invest in your growth through continuous training, mentorship programs, and clear advancement pathways.
Responsibilities
- Develop, implement, and monitor comprehensive compliance programs aligned with regulatory requirements
- Conduct thorough internal audits and risk assessments across financial operations
- Provide expert guidance to departments on regulatory changes and compliance implications
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Lead investigations of potential compliance breaches and recommend corrective actions
- Train staff on compliance policies and regulatory best practices
- Stay current with evolving financial regulations through continuous professional development
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Strong knowledge of FINRA, SEC, and OCC regulations
- Relevant certifications (CRCM, CCEP, or CAMS) highly valued
- Exceptional analytical skills with attention to detail
- Proven ability to interpret complex regulatory requirements
- Experience with compliance management software (e.g., RSA Archer, MetricStream)
- Excellent communication skills for stakeholder engagement