Job Description
Join a Leading Firm in New York City
Apex Financial Solutions is currently seeking a highly skilled and detail-oriented Part-Time Compliance Officer to join our dynamic team. In this pivotal role, you will ensure that our organization operates within the strict bounds of all applicable laws and regulations, including SEC and FINRA guidelines.
This is a part-time position offering a unique opportunity to contribute to a leading firm while maintaining a flexible work-life balance. If you are a compliance expert looking for a role that values precision and integrity, we want to hear from you.
Responsibilities
- Monitor Regulatory Changes: Continuously track federal, state, and local regulations to ensure full compliance with evolving financial laws.
- Internal Audits: Conduct regular internal audits and risk assessments to identify potential vulnerabilities and recommend corrective actions.
- Report Preparation: Prepare and maintain detailed compliance reports for senior management and regulatory bodies on a monthly basis.
- Policy Management: Review and update internal policies and procedures to reflect current legal standards and best practices.
- Staff Training: Develop and deliver compliance training programs to educate staff members on regulatory requirements and ethical standards.
- Investigation: Assist in the investigation of compliance-related issues and ensure timely resolution.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field is required.
- Certifications: Relevant professional certification (e.g., CPA, CFE, CFA, or CAMS) is highly preferred.
- Experience: Minimum of 3-5 years of experience in financial compliance, auditing, or a related regulatory role.
- Regulatory Knowledge: Strong knowledge of New York State and Federal financial regulations is essential.
- Skills: Excellent analytical and problem-solving skills with meticulous attention to detail.
- Communication: Superior verbal and written communication skills to effectively interact with stakeholders.