Job Description
Join our award-winning compliance team with industry-leading paid training! As a Compliance Officer at Apex Financial Group, you'll master regulatory frameworks while safeguarding our clients' financial interests. We provide comprehensive 12-week paid training covering FINRA rules, SEC regulations, and internal policy development. This role offers accelerated career progression with mentorship from senior compliance professionals and opportunities to specialize in risk management or financial crime prevention.
Our Saint Paul headquarters features modern workspaces, competitive benefits, and a collaborative culture committed to professional excellence. You'll gain exposure to cutting-edge compliance technology while working with Fortune 500 clients across diverse financial sectors.
Responsibilities
- Monitor regulatory changes and implement compliance policies across banking operations
- Conduct internal audits and risk assessments for financial products/services
- Train staff on AML/KYC procedures and regulatory updates
- Prepare regulatory reports for SEC/FINRA/Dodd-Frank compliance
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and audit teams on compliance frameworks
- Develop compliance training materials for new and existing employees
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 0-3 years experience (paid training provided for qualified candidates)
- Strong understanding of financial regulations (FINRA/SEC preferred)
- Excellent analytical and problem-solving skills
- Ability to manage competing priorities in a fast-paced environment
- Proficiency with Microsoft Office Suite and compliance software
- FINRA Series 63/65 certification (training provided)