Job Description
Join our dynamic team at Apex Financial Solutions as a Compliance Officer in Raleigh, NC! We're offering a $15,000 sign-on bonus for qualified candidates ready to drive our regulatory excellence. You'll be instrumental in safeguarding our operations while advancing your career in a thriving financial hub. Enjoy competitive benefits, flexible work arrangements, and opportunities for professional growth in a supportive environment.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (Dodd-Frank, AML, BSA)
- Conduct risk assessments and internal audits to identify compliance gaps
- Collaborate with legal and business teams on regulatory updates and policy changes
- Train staff on compliance protocols and ethical standards
- Manage investigations and remediation of compliance violations
- Prepare regulatory reports for FINRA, SEC, and other governing bodies
Qualifications
- Bachelor's degree in Finance, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) or CAMS designation
- Expertise in risk management frameworks and regulatory reporting
- Strong analytical skills with attention to detail
- Excellent communication and stakeholder management abilities