Job Description
Join our dynamic team at Apex Financial Solutions as a Compliance Officer in Greensboro, NC! We offer weekly pay, competitive benefits, and a supportive environment where your expertise drives regulatory excellence. As a key member of our risk management division, you'll ensure adherence to federal regulations, implement compliance programs, and safeguard our organization's integrity. Enjoy the flexibility of hybrid work arrangements while making a tangible impact in a growing financial services firm.
Responsibilities
- Monitor regulatory changes and update compliance policies accordingly
- Conduct internal audits and risk assessments across departments
- Develop and deliver compliance training programs for staff
- Investigate and resolve compliance violations with corrective action plans
- Prepare detailed compliance reports for senior leadership and regulatory bodies
- Collaborate with legal and operations teams on compliance initiatives
- Maintain accurate documentation of compliance activities
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 3+ years of compliance experience in financial services
- Strong knowledge of FINRA, SEC, and NC state regulations
- Certified Regulatory Compliance Manager (CRCM) preferred
- Exceptional analytical and problem-solving abilities
- Proficiency with compliance management software (e.g., PolicyTech, Diligent)
- Excellent written and verbal communication skills