Job Description
Apex Financial Solutions is seeking a highly motivated and detail-oriented Compliance Officer to join our dynamic team in Tucson, AZ. In this pivotal role, you will ensure our organization adheres to all regulatory standards, mitigate risk, and foster a culture of integrity.
We are thrilled to offer a $5,000 Sign-On Bonus to new hires to recognize your expertise and commitment to excellence. If you are a strategic thinker with a passion for regulatory compliance, we want to hear from you.
Responsibilities
- Monitor and interpret federal, state, and industry regulations (FINRA, SEC, etc.) to ensure company compliance.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in our processes.
- Develop, implement, and update comprehensive compliance policies and procedures.
- Investigate and resolve compliance violations, including disciplinary actions when necessary.
- Provide training and guidance to staff on compliance matters and best practices.
- Prepare and submit regulatory reports to internal leadership and external governing bodies.
Qualifications
- Bachelor’s degree in Finance, Accounting, Law, or a related field required; Master’s degree preferred.
- Minimum of 3-5 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
- Strong working knowledge of SEC, FINRA, and state banking regulations.
- Professional certifications such as CAMS, CFA, or CFP are highly desirable.
- Excellent analytical, verbal, and written communication skills.
- Ability to work independently and manage multiple priorities in a fast-paced environment.