Job Description
Are you a strategic thinker with a passion for regulatory excellence?
Apex Financial Solutions is looking for a dedicated Compliance Officer to join our growing team in Raleigh, NC. In this pivotal role, you will ensure our organization adheres to all applicable laws, regulations, and internal policies. We are proud to offer a Generous Sign-On Bonus to top-tier talent ready to drive our compliance framework forward.
Why Join Us?
At Apex, we believe that a robust compliance culture is the backbone of sustainable growth. You will work in a collaborative environment where your expertise in risk management will directly influence our business decisions and reputation.
Responsibilities
- Develop and Implement Compliance Programs: Design, update, and oversee the implementation of internal policies and procedures to ensure regulatory compliance.
- Regulatory Monitoring: Stay abreast of changes in federal and state regulations (e.g., SEC, FINRA, state banking laws) and assess their impact on the organization.
- Risk Assessments: Conduct regular internal audits and risk assessments to identify potential vulnerabilities and areas for improvement.
- Reporting: Prepare and present detailed compliance reports to senior management and regulatory bodies as required.
- Investigations: Investigate potential violations of policies or laws, recommend corrective actions, and document findings.
- Training: Educate employees on compliance standards, legal requirements, and ethical business practices through training sessions and workshops.
- Vendor Oversight: Monitor third-party service providers to ensure they meet our compliance and ethical standards.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field required.
- Experience: Minimum of 4-5 years of experience in compliance, risk management, or auditing within the financial services industry.
- Regulatory Knowledge: Deep understanding of AML (Anti-Money Laundering), KYC (Know Your Customer), and BSA regulations.
- Certifications: CAMS, CRCM, or CPA/CFA is highly preferred.
- Analytical Skills: Exceptional ability to analyze complex data and draw actionable conclusions.
- Communication: Excellent verbal and written communication skills with the ability to articulate complex concepts to diverse audiences.
- Attention to Detail: Meticulous approach to reviewing documents and processes.