Job Description
Are you a strategic thinker with a keen eye for regulatory detail? Apex Regulatory Solutions is looking for a dedicated Part-Time Compliance Officer to join our Philadelphia team. In this pivotal role, you will safeguard our organizationās reputation by ensuring strict adherence to federal, state, and local laws. This position offers the flexibility of a part-time schedule while providing the opportunity to make a significant impact on our risk management framework.
We are seeking a professional who thrives in a fast-paced environment and is committed to maintaining the highest standards of integrity and transparency.
Responsibilities
- Conduct periodic internal audits and risk assessments to identify potential vulnerabilities in operational procedures.
- Monitor evolving regulatory landscapes (e.g., SEC, FINRA, state compliance acts) and interpret their impact on company policies.
- Prepare and submit detailed compliance reports to senior management and external regulatory bodies as required.
- Investigate internal inquiries and potential compliance breaches, providing actionable recommendations for remediation.
- Develop and maintain comprehensive documentation, including Standard Operating Procedures (SOPs) and compliance manuals.
- Coordinate with legal and human resources departments to ensure employee training programs meet regulatory standards.
Qualifications
- Bachelorās degree in Finance, Business Administration, Law, or a related field.
- 3 to 5 years of experience in compliance, auditing, or risk management within the financial services industry.
- Deep knowledge of relevant financial regulations, including AML, KYC, and securities laws.
- Strong analytical skills with the ability to interpret complex legal documents and regulatory frameworks.
- Exceptional attention to detail and the ability to manage multiple priorities effectively.
- Proficiency in compliance management software and Microsoft Office Suite.