Job Description
Are you a strategic thinker with a sharp eye for regulatory details? Apex Global Solutions is currently seeking a dedicated Compliance Officer to join our growing team in Phoenix, Arizona. In this pivotal role, you will be responsible for ensuring our organization adheres to all legal standards and internal policies while fostering a culture of integrity and transparency.
As a key member of our risk management team, you will lead the charge in identifying compliance gaps, implementing robust control systems, and guiding our workforce through complex regulatory landscapes. If you are driven by excellence and want to make a tangible impact on a dynamic organization, we want to hear from you.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs and policies to ensure adherence to federal, state, and local regulations.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities and ensure corrective actions are taken.
- Monitor changes in regulatory legislation and interpret how these changes impact our business operations.
- Investigate and resolve compliance violations, preparing detailed reports for executive leadership and regulatory bodies.
- Provide training and guidance to staff on compliance standards, ethical conduct, and company policies.
- Collaborate with legal counsel and external auditors to ensure thorough documentation and audit readiness.
- Manage the compliance calendar, including tracking filing deadlines and regulatory submissions.
Qualifications
- Bachelor’s degree in Law, Business Administration, Finance, or a related field required; Master’s degree or Juris Doctor (JD) is a plus.
- Minimum of 5 years of experience in compliance, risk management, or a related regulatory role.
- Strong knowledge of relevant industry regulations (e.g., FINRA, SEC, HIPAA, or general corporate compliance standards).
- Proven track record of conducting successful internal audits and implementing corrective measures.
- Excellent analytical skills with the ability to interpret complex data and regulations.
- Strong verbal and written communication skills, with the ability to present complex information clearly to stakeholders at all levels.
- Professional certification such as CCE, CFE, or CPM is highly preferred.