Job Description
Are you a strategic thinker with a keen eye for detail? Apex Financial Solutions is looking for a Compliance Officer to join our dynamic team in Baltimore, MD. In this pivotal role, you will safeguard our organization’s integrity by ensuring full adherence to federal, state, and local regulations while fostering a culture of ethical compliance.
We offer a competitive benefits package, a collaborative work environment, and opportunities for professional growth. If you are ready to make a significant impact in the financial sector, we want to hear from you.
Responsibilities
- Regulatory Oversight: Monitor and ensure compliance with all applicable laws, including HIPAA, FINRA, and state-specific financial regulations.
- Risk Management: Conduct thorough internal audits and risk assessments to identify potential vulnerabilities in company processes.
- Policy Development: Develop, update, and implement internal policies and procedures to mitigate compliance risks.
- Investigations: Investigate reported violations or discrepancies and recommend appropriate corrective actions.
- Reporting: Prepare comprehensive compliance reports for senior management and external regulatory bodies.
- Training: Educate staff on compliance requirements and best practices to ensure a culture of accountability.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree preferred.
- Experience: Minimum of 3-5 years of experience in compliance, auditing, or regulatory affairs.
- Certifications: Certified Regulatory Compliance Manager (CRCM) or equivalent certification is highly desirable.
- Knowledge: Strong understanding of federal and state compliance frameworks relevant to the financial services industry.
- Skills: Excellent analytical skills, attention to detail, and strong verbal and written communication abilities.