Job Description
Are you a meticulous professional with a passion for regulatory integrity? Apex Compliance Partners is seeking a dedicated Part-Time Compliance Officer to join our dynamic team in the heart of New York City. In this role, you will play a pivotal role in safeguarding our organization against financial risks and ensuring adherence to federal and state regulations.
This is a fantastic opportunity for an experienced compliance professional looking for a flexible schedule without compromising on impact. You will work directly with our leadership team to develop robust compliance frameworks and maintain our standing as an industry leader in ethical business practices.
Responsibilities
- Regulatory Monitoring: Stay abreast of evolving local, state, and federal regulations to ensure our operations remain fully compliant with New York state laws.
- Audit Management: Conduct periodic internal audits and risk assessments to identify potential vulnerabilities in our compliance protocols.
- Policy Development: Draft, review, and update company policies and procedures to align with current legal standards.
- Reporting: Prepare detailed compliance reports for executive leadership and regulatory bodies as required.
- Training: Educate staff on compliance requirements and best practices to foster a culture of accountability.
- Incident Investigation: Investigate and address compliance breaches or internal incidents efficiently and discreetly.
Qualifications
- Education: Bachelor’s degree in Law, Finance, Business Administration, or a related field is required.
- Experience: Minimum of 2-3 years of experience in compliance, risk management, or a similar regulatory role.
- Knowledge: In-depth understanding of financial regulations, KYC/AML protocols, and SEC/FINRA guidelines.
- Skills: Strong analytical skills with the ability to interpret complex regulatory texts.
- Communication: Excellent verbal and written communication skills for reporting to senior management.
- Attention to Detail: Exceptional attention to detail with a commitment to high-quality work.