Job Description
Join our dynamic compliance team at Apex Financial Group, where we champion integrity and regulatory excellence in Denver's thriving financial sector. As a Compliance Officer, you'll safeguard our operations against evolving regulatory landscapes while driving ethical business practices. We offer competitive benefits, remote flexibility options, and career advancement opportunities in a collaborative environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FinCEN, SEC, CFPB)
- Conduct risk assessments and internal audits to identify compliance gaps
- Train staff on regulatory requirements and ethical standards
- Investigate violations and recommend corrective actions
- Prepare regulatory filings and management reports
- Collaborate with legal and audit teams on compliance initiatives
- Stay updated on regulatory changes and industry best practices
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 5+ years compliance/regulatory experience in financial services
- Certified Compliance & Ethics Professional (CCEP) preferred
- Strong knowledge of BSA/AML, SOX, and consumer protection laws
- Exceptional analytical and problem-solving skills
- Proficiency in compliance management software (e.g., ComplyAdvantage)
- Excellent written/verbal communication abilities
- Ability to thrive in fast-paced, regulated environments