Job Description
Join our dynamic team at Apex Financial Group as a Part-Time Compliance Officer in Raleigh, NC. We're seeking a detail-oriented professional to ensure regulatory adherence while supporting our mission to deliver exceptional financial services. This role offers flexible hours (20-25/week) and the opportunity to work with industry-leading compliance frameworks. Enjoy a supportive environment where your expertise directly contributes to our ethical operations and client trust.
Responsibilities
- Monitor regulatory changes and update internal policies to maintain compliance with federal/state laws
- Conduct risk assessments and internal audits to identify compliance gaps
- Prepare and submit mandatory regulatory reports to FINRA/SEC
- Train staff on compliance protocols and regulatory updates
- Investigate and document potential compliance violations
- Maintain accurate compliance documentation and audit trails
- Collaborate with legal team on regulatory interpretations
Qualifications
- Bachelor's degree in Finance, Business, or related field
- 2+ years of compliance/regulatory experience in financial services
- FINRA Series 63/65/66 certification preferred
- Proficiency with compliance software (e.g., ComplianceEase, AdHoc)
- Strong analytical skills with attention to detail
- Excellent written/verbal communication abilities
- Knowledge of NC financial regulations
- Ability to work independently with minimal supervision