Job Description
Join our dynamic team at Apex Financial Solutions as a Compliance Officer and receive a $10,000 sign-on bonus! We're seeking a detail-oriented professional to ensure regulatory adherence across all operations in our fast-growing financial services firm. This pivotal role offers competitive compensation, comprehensive benefits, and opportunities for career advancement in Raleigh's thriving business hub.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, etc.)
- Conduct internal audits and risk assessments to identify compliance gaps
- Prepare detailed compliance reports for executive leadership and regulatory bodies
- Train staff on regulatory updates and ethical practices
- Manage investigations of compliance violations and recommend corrective actions
- Collaborate with legal team on policy revisions and regulatory filings
- Stay current with industry trends and regulatory changes
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years compliance experience in financial services or regulated industry
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of FINRA, SEC, and North Carolina financial regulations
- Exceptional analytical skills and attention to detail
- Strong written/oral communication abilities
- Proficiency with compliance management software (e.g., Compliance.ai)