Job Description
Are you a detail-oriented professional looking to make a significant impact in the dynamic world of finance? Apex Regulatory Partners is seeking a highly skilled and strategic Compliance Officer to join our Miami-based team. In this pivotal role, you will ensure our operations adhere to all federal, state, and local regulations while fostering a culture of integrity and transparency.
Embracing a remote-friendly work culture, we offer the flexibility to work from our modern Miami office or from the comfort of your home. If you have a passion for risk management and a keen eye for regulatory nuances, we want to hear from you.
Why Join Us?
- Competitive salary and comprehensive benefits package.
- Opportunity to work in a leading financial hub with a forward-thinking team.
- Flexible work environment: Hybrid and Remote options available.
- Continuous professional development and training opportunities.
Responsibilities
- Monitor and interpret changing federal and state regulations to ensure continuous compliance across all business units.
- Conduct thorough internal audits and risk assessments to identify potential vulnerabilities in compliance programs.
- Develop, implement, and maintain robust compliance policies, procedures, and internal controls.
- Oversee the Know Your Customer (KYC) and Anti-Money Laundering (AML) programs to prevent financial crimes.
- Prepare and submit detailed compliance reports to senior management and regulatory bodies as required.
- Provide training and guidance to staff on regulatory requirements and best practices.
- Investigate and resolve compliance-related incidents and ensure corrective actions are taken.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree is a plus.
- 3-5+ years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Strong working knowledge of FINRA regulations, SEC rules, and OFAC compliance.
- Certification such as CAMS, CRCM, or CFA is highly preferred.
- Excellent analytical, problem-solving, and interpersonal skills.
- Ability to communicate complex regulatory concepts clearly to non-technical staff.
- Proficiency in compliance management software and Microsoft Office Suite.