Job Description
Join Apex Financial Group, a leading financial institution in Raleigh, NC, as a Compliance Officer and receive a $5,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence while driving ethical excellence across our operations.
As a key member of our risk management team, you'll safeguard our organization's integrity in a dynamic financial landscape. Enjoy comprehensive benefits including health insurance, retirement plans, and continuous professional development opportunities. Apply today to become part of our award-winning culture!
Responsibilities
- Monitor and interpret regulatory changes (SEC, FINRA, OCC) to update compliance frameworks
- Conduct internal audits and risk assessments across departments
- Develop and implement compliance policies/procedures with stakeholder collaboration
- Deliver mandatory compliance training to 200+ employees annually
- Investigate and resolve compliance incidents with detailed reporting
- Prepare regulatory filings and manage examinations with state/federal agencies
- Lead AML/BSA program execution and suspicious activity reporting
- Advise leadership on emerging compliance risks and mitigation strategies
Qualifications
- Bachelor's degree in Finance, Law, Business, or related field (Master's preferred)
- 5+ years compliance/regulatory experience in financial services
- CCEP, CAMS, or CFCP certification required
- Expertise in federal/state banking regulations and FINRA rules
- Advanced proficiency in compliance software (e.g., RSA Archer, MetricStream)
- Exceptional analytical and investigative skills
- Strong written/verbal communication with cross-functional leadership
- Proven experience managing regulatory examinations and audits