Job Description
Join our dynamic compliance team at Apex Financial Solutions and become a guardian of regulatory excellence in the heart of Raleigh's thriving financial district. We're seeking a detail-oriented Compliance Officer to implement robust frameworks that ensure adherence to federal and state regulations. This pivotal role offers competitive compensation, comprehensive benefits, and opportunities for professional growth in a culture that values integrity and innovation.
As a cornerstone of our risk management strategy, you'll collaborate with cross-functional teams to develop policies, conduct audits, and drive continuous improvement initiatives. Our commitment to employee development includes specialized training programs and mentorship from industry veterans.
Responsibilities
- Monitor regulatory changes and implement compliance policies across all business units
- Conduct internal audits and risk assessments to identify potential violations
- Develop and deliver compliance training programs for 200+ employees
- Investigate and resolve regulatory inquiries from FINRA, SEC, and state authorities
- Prepare comprehensive reports for senior management and board committees
- Collaborate with legal team to ensure adherence to AML, KYC, and Dodd-Frank requirements
- Lead remediation efforts for audit findings with 98% resolution rate
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation required
- Advanced knowledge of FINRA, SEC, and NC state regulations
- Proficiency in compliance software (e.g., Compliance.ai, Diligent)
- Exceptional analytical and problem-solving abilities
- Strong written communication skills for policy development
- Experience managing regulatory examinations and investigations