Job Description
Join our dynamic team at Apex Financial Solutions as a Compliance Officer in Raleigh, NC. We're seeking a detail-oriented professional to ensure our organization adheres to federal and state regulations while maintaining ethical standards. This role is pivotal in safeguarding our operations and reputation in the financial services industry.
Responsibilities
- Develop and implement compliance policies aligned with FINRA, SEC, and NC regulations
- Conduct internal audits and risk assessments to identify compliance gaps
- Investigate regulatory inquiries and maintain detailed documentation
- Train staff on compliance procedures and regulatory updates
- Collaborate with legal team on regulatory changes and policy revisions
- Monitor transactional activities for suspicious behavior and AML compliance
- Prepare comprehensive compliance reports for executive leadership
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) designation required
- Strong knowledge of NC banking regulations and federal laws
- Exceptional analytical and investigative skills
- Proficiency with compliance software (e.g., ComplyAdvantage, Wolters Kluwer)
- Excellent written communication and report-writing abilities