Job Description
Are you a detail-oriented professional looking for a rewarding career in Finance?
Apex Financial Solutions is seeking a dedicated Compliance Officer to join our team in Louisville, KY. In this pivotal role, you will ensure our organization adheres to external laws, regulations, and internal policies. You will play a key part in mitigating risk and maintaining the highest standards of integrity.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Opportunities for professional growth and certification support.
- A collaborative and inclusive work environment.
Ready to make an impact? Apply today!
Responsibilities
- Monitor and interpret federal, state, and local laws and regulations to ensure company compliance.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Develop, implement, and update company policies and procedures to align with regulatory changes.
- Investigate and resolve compliance violations and non-conformities.
- Provide training and guidance to staff on compliance matters and regulatory requirements.
- Prepare and submit necessary regulatory reports to government agencies.
- Collaborate with legal and operations teams to mitigate financial and operational risks.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3+ years of experience in compliance, auditing, or risk management within the financial services industry.
- Deep knowledge of SEC, FINRA, or state-specific financial regulations.
- Strong analytical and problem-solving skills with keen attention to detail.
- Excellent verbal and written communication abilities.
- Professional certifications such as CAMS, CFE, CPA, or JD are highly preferred.