Job Description
Are you a detail-oriented professional ready to lead the charge in regulatory excellence?
Apex Financial Solutions is seeking a Compliance Officer to join our growing team in Cincinnati, OH. We pride ourselves on a culture of integrity, transparency, and innovation. In this pivotal role, you will act as the guardian of our regulatory framework, ensuring we navigate the complex financial landscape with confidence and precision.
Why Join Us?
- Hybrid & Remote Friendly: Enjoy the flexibility of working from home or our downtown office.
- Competitive Compensation: Comprehensive benefits package including health, dental, and 401(k) matching.
- Professional Growth: Continuous learning opportunities and clear pathways for advancement.
We are looking for a strategic thinker who can interpret complex regulations and translate them into actionable business practices. If you are ready to make an impact, we want to hear from you.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program to ensure adherence to all federal, state, and local laws and regulations.
- Conduct regular internal audits and risk assessments to identify potential compliance vulnerabilities.
- Oversee Anti-Money Laundering (AML) and Know Your Customer (KYC) processes to mitigate financial crime risks.
- Act as the primary point of contact for regulatory bodies and external auditors.
- Monitor changes in financial legislation and industry standards to ensure our policies remain current.
- Train and educate staff on compliance policies, procedures, and regulatory requirements.
- Prepare and submit accurate regulatory reports in a timely manner.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree preferred).
- Minimum of 5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Strong working knowledge of SEC regulations, FINRA rules, and AML/KYC protocols.
- Excellent analytical and problem-solving skills with keen attention to detail.
- Ability to communicate complex regulatory concepts clearly to non-technical stakeholders.
- Certification such as CAMS, CFE, or CRCM is highly desirable.
- Self-motivated individual capable of working independently in a remote-friendly environment.