Job Description
Join the Leader in Regulatory Excellence
Apex Regulatory Group is looking for a dedicated Compliance Officer to join our St. Petersburg, FL team. In this critical role, you will ensure our organization maintains the highest standards of integrity and legal adherence. You will act as the guardian of our compliance programs, bridging the gap between complex regulations and daily operations.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Opportunity to work in a fast-paced, professional environment.
- Professional development and certification support.
If you are a detail-oriented professional ready to make an impact, apply today.
Responsibilities
- Monitor and interpret federal, state, and local regulations relevant to the financial services industry.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, update, and communicate corporate policies and procedures to ensure employee adherence.
- Prepare and submit accurate regulatory reports to government agencies and senior management.
- Investigate compliance violations and recommend corrective actions to mitigate risk.
- Coordinate with legal teams to ensure alignment with industry best practices and standards.
- Train staff on compliance requirements and regulatory changes.
Qualifications
- Bachelor’s degree in Business Administration, Finance, Law, or a related field.
- 3-5 years of experience in compliance, auditing, or risk management.
- Strong working knowledge of regulatory frameworks (e.g., FINRA, SEC, or industry-specific regulations).
- Excellent analytical skills with a keen eye for detail.
- Strong written and verbal communication skills.
- Certification such as CAMS, CFE, or CPA is highly preferred.
- Ability to manage multiple priorities in a high-pressure environment.