Job Description
Are you a detail-oriented professional with a passion for regulatory integrity? Apex Regulatory Solutions is looking for a skilled Compliance Officer to join our growing team in Los Angeles. This is a remote-friendly position, offering the flexibility to work from anywhere within the United States while adhering to the high standards of our West Coast operations.
In this pivotal role, you will be responsible for monitoring regulatory changes, conducting internal audits, and ensuring our organization remains compliant with federal, state, and local laws. You will serve as a key advisor to the executive team, helping to navigate complex compliance landscapes while driving a culture of transparency and ethical conduct.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Flexible remote work environment.
- Opportunity for career advancement within a leading financial services firm.
Responsibilities
- Monitor and interpret federal and state regulations, with a focus on California-specific compliance laws (e.g., CalOBRA, CCPA).
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Oversee the Anti-Money Laundering (AML) and Know Your Customer (KYC) programs to prevent fraud and financial crimes.
- Develop and deliver mandatory compliance training programs for all employees.
- Prepare and submit regulatory reports to internal stakeholders and external government bodies.
- Investigate and resolve compliance violations, implementing corrective actions where necessary.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field (Master’s degree preferred).
- Minimum of 5 years of experience in regulatory compliance, risk management, or internal auditing.
- Strong working knowledge of FINRA rules, SEC regulations, and OFAC compliance.
- Proven experience in a remote or hybrid work environment.
- Excellent written and verbal communication skills.
- Ability to analyze complex data and generate actionable insights.