Job Description
Are you a detail-oriented professional passionate about regulatory frameworks?
Join Apex Regulatory Partners as our new Compliance Officer in the heart of Baltimore. We are looking for a strategic thinker to oversee our internal controls, ensure adherence to federal and state regulations, and drive a culture of integrity across the organization.
In this Direct Hire role, you will play a pivotal part in mitigating risk and protecting our reputation. You will collaborate with cross-functional teams to develop robust compliance programs that not only meet legal standards but also enhance operational efficiency.
Why Join Us?
- Competitive salary package with annual performance bonuses.
- Comprehensive health, dental, and vision insurance.
- Flexible work schedule and remote work options.
- Professional development and certification reimbursement.
- Be part of a dynamic team in a rapidly growing industry.
Responsibilities
- Monitor and interpret changes in local, state, and federal regulations to ensure our business practices remain compliant.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in our operational processes.
- Develop, implement, and update corporate policies and procedures to align with legal requirements.
- Investigate internal complaints and alleged violations, ensuring thorough documentation and timely resolution.
- Coordinate with external auditors and regulatory bodies during inspections and reporting periods.
- Provide training and guidance to employees on compliance standards and ethical business conduct.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree (MBA/MS) preferred.
- Minimum of 3-5 years of experience in compliance, risk management, or auditing within the financial services industry.
- Strong working knowledge of SEC regulations, FINRA rules, and state banking laws.
- Proven experience in conducting internal audits and developing compliance programs.
- Excellent analytical skills with the ability to interpret complex regulatory data.
- Strong verbal and written communication skills for training and reporting purposes.
- Professional certifications such as CFA, CFP, CAMS, or CRCM are a significant plus.