Job Description
Are you a strategic thinker with a keen eye for regulatory detail? Apex Regulatory Solutions is seeking a highly skilled Compliance Officer to lead our Washington, DC office. In this pivotal role, you will ensure our organization adheres to federal and state laws, mitigating risk and fostering a culture of integrity.
We offer a competitive benefits package, professional development opportunities, and the chance to make a tangible impact on the financial landscape.
Responsibilities
- Develop and implement comprehensive compliance programs to ensure adherence to federal and state regulations (e.g., FINRA, SEC, OCC).
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities in operational processes.
- Monitor changes in regulatory landscape and update internal policies and procedures accordingly.
- Investigate and resolve compliance violations, ensuring appropriate disciplinary action is taken when necessary.
- Provide training and guidance to staff on compliance matters and ethical standards.
- Prepare detailed reports for senior management and regulatory bodies as required.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field is required.
- Minimum of 5 years of experience in compliance, auditing, or risk management within the financial services sector.
- Strong knowledge of SEC regulations, AML (Anti-Money Laundering) laws, and Know Your Customer (KYC) protocols.
- Excellent verbal and written communication skills, with the ability to present complex data to diverse audiences.
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification is a plus.
- Ability to work independently and manage multiple priorities in a fast-paced environment.