Job Description
Join our dynamic finance team as a Compliance Officer in Irvine, CA! At Apex Financial Group, we're committed to regulatory excellence and risk mitigation. You'll be instrumental in ensuring our operations adhere to federal, state, and industry regulations while fostering a culture of integrity. This role offers hybrid work arrangements, competitive benefits, and growth opportunities in a thriving tech hub.
Responsibilities
- Develop and implement compliance monitoring systems across financial transactions
- Conduct internal audits to assess adherence to SEC, FINRA, and CA DFI regulations
- Prepare regulatory reports for federal and state authorities
- Train staff on evolving compliance requirements and best practices
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and senior leadership on compliance strategy
- Stay updated on regulatory changes impacting financial services
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 3+ years of compliance experience in financial services
- FINRA Series 63/65 or 66 licenses required
- Strong knowledge of CA financial regulations (e.g., Corporate Securities Law)
- Experience with compliance software (e.g., OnBase, Compliance.ai)
- Exceptional analytical and problem-solving abilities
- Excellent written/verbal communication skills