Job Description
Are you a detail-oriented compliance professional looking for a flexible schedule? Apex Financial Solutions is seeking a dedicated Part-Time Compliance Officer to join our Raleigh, NC team. We pride ourselves on maintaining the highest standards of regulatory integrity while fostering a supportive work environment. This is an excellent opportunity for an experienced professional to make a significant impact without the demands of a full-time commitment.
Your Role
As a Part-Time Compliance Officer, you will serve as the guardian of our regulatory standards. You will work closely with our leadership team to ensure all policies, procedures, and practices align with federal and state regulations. Your expertise will help us mitigate risk and maintain our reputation as a trusted financial entity.
Responsibilities
- Conduct Regular Audits: Perform internal audits and compliance reviews to ensure adherence to internal policies and external regulations (e.g., SEC, FINRA, state banking laws).
- Policy Development: Draft, review, and update compliance manuals, Standard Operating Procedures (SOPs), and employee handbooks.
- Training and Education: Conduct mandatory compliance training sessions for staff and ensure all employees complete required certification programs.
- Monitoring and Reporting: Monitor changes in legislation and industry trends to proactively advise management on potential risks.
- Incident Investigation: Investigate internal complaints or alleged violations and recommend corrective actions.
- Record Keeping: Maintain accurate and up-to-date records of all compliance activities, audits, and correspondence.
Qualifications
- Education: Bachelor’s degree in Finance, Law, Business Administration, or a related field is required. A Juris Doctor (JD) or CPA is a plus.
- Experience: Minimum of 3-5 years of experience in compliance, risk management, or internal auditing within the financial services industry.
- Knowledge: Deep understanding of federal and state financial regulations, anti-money laundering (AML) laws, and Know Your Customer (KYC) requirements.
- Skills: Strong analytical skills with the ability to interpret complex regulations and apply them to business operations.
- Communication: Excellent verbal and written communication skills, with the ability to present complex information clearly to non-technical stakeholders.
- Availability: Must be available to work a part-time schedule (approx. 20-25 hours per week) with flexibility for occasional meetings.