Job Description
Are you a strategic thinker with a keen eye for detail? Apex Financial Services is looking for a dedicated Compliance Officer to join our dynamic team in Jacksonville, FL. We pride ourselves on maintaining the highest standards of regulatory integrity and ethical business practices.
We are thrilled to announce a $5,000 Sign-On Bonus for this position! This is a fantastic opportunity for an experienced professional to make a significant impact while securing immediate financial value.
As the Compliance Officer, you will serve as the guardian of our organization’s regulatory compliance, ensuring that we operate within the legal frameworks established by federal and state authorities.
Responsibilities
- Oversee the development, implementation, and maintenance of the company’s compliance policies and procedures.
- Conduct regular internal audits and risk assessments to identify potential compliance gaps.
- Monitor changes in financial regulations (e.g., FINRA, SEC, state banking laws) and advise the executive team on necessary adjustments.
- Prepare and file necessary regulatory reports in a timely and accurate manner.
- Lead training sessions and workshops to ensure all employees understand compliance standards and ethical conduct.
- Investigate internal complaints and alleged violations, documenting findings and recommending corrective actions.
- Coordinate with external legal counsel and regulatory bodies as needed.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field (Master’s degree preferred).
- Minimum of 3-5 years of experience in compliance, risk management, or internal auditing within the financial services industry.
- Certification such as CFE, CFA, CAMS, or CRCM is highly desirable.
- Deep understanding of federal and state financial regulations and reporting requirements.
- Strong analytical skills with the ability to interpret complex data and regulatory text.
- Exceptional communication skills, both written and verbal, with the ability to present complex information clearly.
- Ability to work independently and manage multiple priorities in a fast-paced, high-volume environment.