Job Description
Join our dynamic team as a Compliance Officer and enjoy the benefit of weekly pay while safeguarding our organization's integrity. We're seeking a detail-oriented professional to ensure regulatory adherence and implement robust compliance frameworks in the financial services sector.
At Apex Financial Group, we value work-life balance and reward excellence with competitive compensation, comprehensive benefits, and a collaborative culture. This role offers direct impact on risk mitigation and operational excellence.
Responsibilities
- Monitor regulatory changes and update compliance policies/procedures
- Conduct internal audits and risk assessments across departments
- Investigate potential compliance violations and prepare corrective action plans
- Develop and deliver compliance training programs for staff
- Prepare regulatory reports and maintain documentation
- Collaborate with legal and senior leadership on compliance strategies
- Ensure adherence to federal/state regulations (e.g., FINRA, SEC, AML)
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field
- 3+ years of compliance experience in financial services
- Certified Regulatory Compliance Manager (CRCM) preferred
- Strong knowledge of banking regulations and risk frameworks
- Excellent analytical and problem-solving skills
- Proficient in compliance software and MS Office Suite
- Ability to communicate complex concepts clearly to stakeholders
- Proven track record in developing compliance programs