Job Description
Are you a detail-oriented professional with a passion for integrity and regulatory excellence? Apex Financial Solutions is seeking a highly skilled Compliance Officer to join our Minneapolis team. We are proud to offer a remote-friendly work culture, empowering you to deliver exceptional results from anywhere in the region.
In this critical role, you will serve as the guardian of our operational standards, ensuring that all business activities comply with federal, state, and local laws. You will play a key role in shaping our risk management framework and fostering a culture of transparency. If you are looking for a challenging role where your expertise directly impacts organizational success, apply today.
Responsibilities
- Develop, implement, and maintain a comprehensive compliance program tailored to our organizational needs.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities and ensure adherence to policies.
- Monitor changes in regulatory legislation and interpret their impact on business operations.
- Prepare and present detailed compliance reports to executive leadership and the Board of Directors.
- Provide training and guidance to staff members regarding compliance policies, procedures, and regulatory requirements.
- Investigate and resolve compliance incidents, ensuring timely corrective actions are taken.
- Collaborate with external auditors and regulatory agencies to facilitate inspections and inquiries.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree preferred).
- Minimum of 4-6 years of progressive experience in compliance, risk management, or auditing.
- Strong working knowledge of financial regulations and industry standards (e.g., FINRA, SEC, or relevant state laws).
- Excellent analytical, problem-solving, and critical thinking skills.
- Proficiency in compliance management software and advanced Microsoft Office Suite skills.
- Exceptional verbal and written communication skills with the ability to explain complex regulations clearly.
- Professional certifications such as CFE, CRCM, or CAMS are highly desirable.