Job Description
Join our dynamic team at Apex Financial Solutions as a Compliance Officer in Raleigh, NC! We're offering a $5,000 sign-on bonus for qualified candidates who start before September 30th. This pivotal role ensures regulatory adherence while driving ethical business practices across our financial operations.
As a key member of our Risk Management division, you'll develop and implement compliance programs, conduct internal audits, and serve as the guardian of our regulatory integrity. We value proactive problem-solvers who can translate complex regulations into actionable strategies.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with federal/state regulations (FINRA, SEC, OCC)
- Conduct regular risk assessments and internal audits to identify compliance gaps
- Prepare regulatory reports and maintain accurate documentation for audits
- Train staff on compliance policies and regulatory updates
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance initiatives
- Stay current with industry regulations through continuous education
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 3+ years compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Proficiency with compliance software (e.g., ComplianceEase, Fusion Risk)
- Strong knowledge of BSA/AML, FINRA rules, and Dodd-Frank Act
- Exceptional analytical and investigative skills
- Excellent written/verbal communication abilities