Job Description
Are you a strategic thinker with a passion for regulatory integrity? Apex Financial Services is seeking a dynamic Compliance Officer to lead our risk management initiatives in the heart of Austin. We are offering a generous $5,000 sign-on bonus to top-tier talent looking to drive excellence in a dynamic, fast-paced environment.
As a key member of our legal and operations team, you will ensure that our organization adheres to all applicable laws, regulations, and internal policies. We value innovation, integrity, and professional growth, making this the perfect opportunity for an experienced compliance professional to thrive.
Responsibilities
- Develop & Implement Policies: Create, update, and enforce comprehensive compliance policies and procedures to mitigate organizational risks.
- Regulatory Monitoring: Stay abreast of federal, state, and local regulations (FINRA, SEC, state laws) and advise the leadership team on necessary adjustments.
- Audit Management: Plan, execute, and report on internal compliance audits to ensure operational standards are met.
- Risk Assessment: Conduct thorough risk assessments of business processes to identify potential vulnerabilities and implement control measures.
- Investigations: Lead investigations into potential policy violations or unethical behavior, ensuring fair and thorough resolution.
- Training & Education: Design and deliver training programs to educate employees on compliance standards and ethical business practices.
- Reporting: Prepare and submit detailed compliance reports to the Board of Directors and regulatory bodies as required.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field is required; Master’s degree preferred.
- Experience: Minimum of 3-5 years of experience in a compliance, risk management, or auditing role within the financial services industry.
- Knowledge: Deep understanding of financial regulations, including SEC rules, FINRA regulations, and AML (Anti-Money Laundering) standards.
- Skills: Strong analytical skills with the ability to interpret complex data and regulations into actionable insights.
- Communication: Excellent verbal and written communication skills, capable of presenting complex topics to diverse audiences.
- Attention to Detail: Meticulous attention to detail with a high level of integrity and professionalism.
- Certifications: CFP, CFA, or CRCM (Certified Regulatory Compliance Manager) is a strong plus.