Job Description
Join our dynamic team at Apex Financial Partners as a Compliance Officer and play a pivotal role in safeguarding our operations while driving ethical excellence. We seek a proactive professional to ensure regulatory adherence across all business units in our Philadelphia headquarters. This hybrid role offers the opportunity to shape compliance frameworks while working with industry leaders in financial services. Enjoy competitive benefits, professional development opportunities, and a collaborative culture that values integrity and innovation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and federal regulations
- Conduct risk assessments and internal audits to identify compliance vulnerabilities
- Investigate potential violations and recommend corrective actions to senior leadership
- Provide compliance training to staff across all departments
- Stay current on regulatory changes and update policies accordingly
- Collaborate with legal and business units on compliance initiatives
- Prepare detailed reports for regulatory submissions and management review
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 licenses required
- Strong knowledge of federal and state regulations
- Experience with compliance software (e.g., Certent, NAVEX)
- Exceptional analytical and problem-solving skills
- Excellent written and verbal communication abilities
- Ability to thrive in a fast-paced, regulated environment