Job Description
Welcome to Apex Financial Solutions, a leader in the financial services industry. We are currently seeking a highly motivated and detail-oriented Compliance Officer to join our Dallas, TX team on an immediate basis. If you possess a keen eye for regulatory detail and a passion for maintaining the highest standards of integrity, we want to hear from you.
As a Compliance Officer at Apex, you will play a critical role in safeguarding our company’s reputation by ensuring adherence to all applicable laws and internal policies. This is a permanent, full-time opportunity offering a competitive salary and comprehensive benefits package.
Why Join Us?
- Immediate Start: Join our team and begin making an impact right away.
- Competitive Compensation: Base salary of $75k-$95k plus performance bonuses.
- Professional Growth: Work with industry veterans in a collaborative environment.
- Modern Benefits: Health, dental, vision, and 401(k) matching.
Your Mission:
To ensure that Apex Financial Solutions operates within the boundaries of all federal and state regulations, minimizing risk and maximizing efficiency.
Responsibilities
- Monitor regulatory changes in the financial sector and interpret their impact on company operations.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, implement, and maintain comprehensive compliance policies and procedures.
- Provide ongoing training and education to staff regarding regulatory requirements and ethical standards.
- Investigate internal concerns and report any findings to the Board of Directors or senior management.
- Coordinate with external auditors and regulatory bodies during examinations.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3-5 years of experience in compliance, auditing, or risk management within the financial services industry.
- Strong working knowledge of SEC regulations, FINRA rules, and state banking laws.
- Excellent analytical, verbal, and written communication skills.
- Ability to work independently and manage multiple priorities in a fast-paced environment.
- CPA, JD, or CCO certification is a plus.