Job Description
Are you a detail-oriented professional with a strong commitment to regulatory integrity? Apex Financial Services is seeking a highly skilled Compliance Officer to join our growing team in the heart of Saint Paul, MN. In this pivotal role, you will ensure our operations adhere to all local, state, and federal regulations while fostering a culture of transparency and excellence.
We pride ourselves on a premium work environment that values professional growth. If you are ready to advance your career in a dynamic city with a competitive salary and comprehensive benefits, apply today!
Responsibilities
- Monitor and analyze changes in federal, state, and local regulations to ensure ongoing compliance.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Develop, implement, and maintain comprehensive compliance policies and procedures.
- Investigate potential violations and recommend corrective actions to senior management.
- Prepare and submit required regulatory reports to governing bodies.
- Provide training and guidance to staff on compliance-related matters and regulatory updates.
- Collaborate with legal counsel and external auditors as needed.
Qualifications
- Bachelor’s degree in Law, Business Administration, Finance, or a related field is required.
- 3-5 years of progressive experience in a compliance, auditing, or regulatory role.
- Strong understanding of financial regulations (e.g., FINRA, SEC) is highly preferred.
- Excellent analytical and problem-solving skills with keen attention to detail.
- Exceptional written and verbal communication abilities.
- Ability to work independently and manage multiple priorities in a fast-paced environment.