Job Description
Join Apex Financial Solutions as a pivotal Compliance Officer in Tucson, AZ. We are looking for a detail-oriented professional to safeguard our organization against regulatory risks and ensure adherence to financial laws.
As a Compliance Officer, you will play a critical role in maintaining our reputation and operational integrity. We offer a competitive benefits package, a collaborative work environment, and the opportunity to make a significant impact on our compliance framework.
Responsibilities
- Develop, implement, and maintain comprehensive compliance programs and policies.
- Monitor changes in federal, state, and local regulations to ensure organizational adherence.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Investigate and resolve internal policy violations or irregularities.
- Prepare and submit accurate regulatory reports to governing bodies and senior management.
- Provide training and guidance to staff regarding compliance standards and ethical practices.
- Collaborate with legal and internal teams to mitigate legal and financial risks.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3-5 years of experience in compliance, risk management, or auditing within the financial services industry.
- Strong working knowledge of SEC, FINRA, or other relevant regulatory frameworks.
- Excellent analytical and problem-solving skills with a keen eye for detail.
- Strong verbal and written communication abilities.
- Ability to manage multiple priorities and meet strict deadlines.
- Certification (e.g., CCP, CAM) preferred but not required.