Job Description
Join Apex Financial Solutions' elite compliance team and become a guardian of regulatory excellence in Denver's thriving financial sector. We're urgently seeking a detail-oriented Compliance Officer to navigate complex regulatory landscapes and safeguard our operations. As a key member of our dynamic team, you'll shape our compliance framework while enjoying competitive benefits and career growth opportunities. Apply today to make an immediate impact!
Responsibilities
- Develop, implement, and maintain robust compliance programs aligned with federal/state regulations
- Conduct comprehensive risk assessments and internal audits across financial products
- Monitor regulatory changes (e.g., SEC, FINRA, CFPB) and update policies accordingly
- Train staff on compliance protocols and ethical standards
- Investigate potential violations and recommend corrective actions
- Prepare detailed compliance reports for executive leadership
- Collaborate with legal and audit teams for seamless regulatory alignment
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services
- Certified Compliance & Ethics Professional (CCEP) designation required
- Deep knowledge of FINRA/SEC regulations and AML protocols
- Exceptional analytical and problem-solving abilities
- Strong proficiency in compliance management software (e.g., RSA Archer, MetricStream)
- Proven track record of developing compliance frameworks
- Excellent communication skills with ability to train diverse audiences