Job Description
We are seeking a highly motivated and detail-oriented Compliance Officer to join our dynamic team in Austin, Texas. In this pivotal role, you will ensure our organization adheres to all legal, regulatory, and ethical standards while fostering a culture of transparency and integrity.
At Apex Financial Solutions, we pride ourselves on our innovative approach to financial technology. We offer a competitive benefits package, a collaborative work environment in the vibrant tech hub of Austin, and a $5,000 Sign-On Bonus for qualified candidates ready to make an immediate impact.
If you have a passion for regulatory excellence and want to grow your career in a fast-paced industry, we want to hear from you.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to federal, state, and local laws and regulations.
- Conduct regular internal audits and risk assessments to identify potential compliance vulnerabilities and recommend corrective actions.
- Monitor changes in regulatory landscapes and interpret their impact on company policies and procedures.
- Prepare and submit required regulatory reports to internal stakeholders and external authorities in a timely manner.
- Provide training and guidance to staff on compliance policies, procedures, and regulatory updates to minimize risk.
- Investigate and resolve compliance-related incidents or internal control breaches.
- Collaborate with senior management to ensure compliance objectives are aligned with the company’s overall business strategy.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree preferred).
- 5+ years of progressive experience in compliance, risk management, or regulatory affairs within the financial services or fintech sector.
- Strong working knowledge of SEC regulations, FINRA rules, or relevant state banking laws.
- Certification such as CAMS, CFE, CRCM, or CPA is highly desirable.
- Excellent analytical and problem-solving skills with the ability to interpret complex regulatory requirements.
- Strong written and verbal communication skills with the ability to present complex information clearly.
- Ability to work independently as well as collaboratively in a cross-functional team environment.