Job Description
Apex Financial Solutions is currently seeking a highly organized and detail-oriented Part-Time Compliance Officer to join our growing team in Colorado Springs, CO. In this pivotal role, you will ensure that our organization adheres to industry standards and regulatory requirements while maintaining the highest level of operational integrity.
We are looking for a professional who thrives in a dynamic environment and can provide expert guidance on compliance matters without the commitment of a full-time schedule.
Responsibilities
- Monitor and interpret federal, state, and local regulations to ensure full organizational compliance.
- Conduct regular internal audits and risk assessments to identify potential vulnerabilities.
- Develop, update, and communicate internal policies and procedures to all staff members.
- Prepare comprehensive compliance reports for senior management and regulatory bodies.
- Investigate internal complaints or alleged violations and recommend corrective actions.
- Train employees on compliance best practices and regulatory updates.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3+ years of experience in a compliance, risk management, or auditing role.
- Strong working knowledge of relevant industry regulations (e.g., FINRA, SEC, or state-specific laws).
- Excellent analytical skills with a keen eye for detail.
- Strong written and verbal communication skills.
- Ability to work independently and manage time effectively in a part-time capacity.