Job Description
We are seeking a highly skilled Compliance Officer to join our dynamic team in Raleigh, NC. In this pivotal role, you will serve as the guardian of our organization's integrity, ensuring we adhere to all federal, state, and local laws and regulations. You will be responsible for developing robust compliance programs, mitigating risks, and fostering a culture of ethical conduct across the enterprise.
At Apex Financial Services, we pride ourselves on transparency and regulatory excellence. If you are a detail-oriented professional looking to drive compliance initiatives in a thriving North Carolina hub, we encourage you to apply.
Responsibilities
- Monitor and interpret evolving regulatory frameworks, including SEC, FINRA, and state banking laws.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Develop, implement, and update comprehensive compliance policies and standard operating procedures.
- Deliver mandatory compliance training to staff and management to ensure a culture of adherence.
- Prepare and submit accurate regulatory reports to government agencies in a timely manner.
- Investigate violations and recommend corrective actions or disciplinary measures when necessary.
- Collaborate with legal counsel and senior leadership to navigate complex regulatory challenges.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree or MBA preferred).
- 3-5 years of progressive experience in compliance, risk management, or auditing within the financial services sector.
- In-depth knowledge of regulatory frameworks such as Dodd-Frank, BSA/AML, and fair lending practices.
- Strong analytical skills with the ability to interpret complex regulations and apply them practically.
- Excellent written and verbal communication skills for reporting and training purposes.
- Professional certifications such as CRCM, CFA, or CFP are highly desirable.
- Ability to work independently in a fast-paced environment while managing multiple deadlines.