Job Description
Are you a meticulous professional dedicated to maintaining the highest standards of integrity? Apex Regulatory Solutions is looking for an experienced Compliance Officer to join our elite team in San Jose, CA. We pride ourselves on a culture that values transparency and innovation.
In this role, you will serve as the guardian of our organization’s compliance posture, navigating the complex landscape of financial and operational regulations. We offer a hybrid work model that provides the flexibility of remote work alongside the collaborative energy of our San Jose office.
Responsibilities
- Oversee the daily operations of the compliance department and ensure adherence to internal and external regulations.
- Conduct comprehensive risk assessments and internal audits to detect and mitigate compliance vulnerabilities.
- Monitor legislative changes at the federal and state levels (e.g., SEC, FINRA) and update policies accordingly.
- Develop and deliver training programs to ensure all employees understand compliance protocols and ethical standards.
- Prepare and present detailed compliance reports to senior leadership and regulatory bodies.
- Investigate potential violations and recommend corrective actions to prevent recurrence.
Qualifications
- Bachelor’s degree in Law, Finance, Business Administration, or a related field; Juris Doctor (JD) or MBA is a plus.
- Minimum of 5 years of progressive experience in compliance, risk management, or auditing within the financial services sector.
- Deep understanding of US banking regulations, AML (Anti-Money Laundering), and KYC (Know Your Customer) procedures.
- Strong analytical skills with the ability to interpret complex regulatory frameworks.
- Exceptional written and verbal communication skills, with the ability to explain complex topics clearly.
- Proven ability to work effectively both remotely and in a collaborative office environment.