Job Description
Join our dynamic compliance team at Apex Financial Solutions and shape regulatory excellence with flexible scheduling! We're seeking a detail-driven Compliance Officer to ensure adherence to federal and state regulations while maintaining work-life balance. This hybrid role (3 days in-office, 2 remote) offers unprecedented flexibility in Los Angeles' thriving financial district. Collaborate with cross-functional teams to implement robust compliance frameworks, conduct risk assessments, and drive continuous improvement. Enjoy competitive benefits, professional development stipends, and a culture that values innovation and work-life harmony.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and California DBO regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare regulatory filings and maintain meticulous compliance documentation
- Deliver engaging compliance training to staff across departments
- Collaborate with legal and senior leadership on regulatory strategy
- Investigate and resolve compliance incidents with root cause analysis
- Stay current on evolving financial regulations through continuous research
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years compliance experience in financial services or fintech
- FINRA Series 7/63 or 24/26 certifications (or ability to obtain within 90 days)
- Proficiency in compliance management software (e.g., ComplianceEase, MetricStream)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills with attention to detail
- Ability to work independently with flexible hours (20-30 hrs/week)
- Knowledge of California-specific financial regulations a plus