Job Description
Are you a strategic thinker with a keen eye for regulatory detail? Apex Regulatory Services is seeking a highly skilled Compliance Officer to join our dynamic team in Albuquerque, New Mexico. We pride ourselves on fostering a remote-friendly work culture, allowing you to maintain a healthy work-life balance while driving critical compliance initiatives.
In this pivotal role, you will ensure that our organization adheres to federal and state laws, industry regulations, and internal policies. You will work closely with cross-functional teams to mitigate risk, conduct thorough audits, and implement best-in-class compliance frameworks. If you are looking for a challenging opportunity where your expertise can directly influence our success, we want to hear from you.
Responsibilities
- Monitor and evaluate changes in federal and state regulations to ensure our practices remain compliant.
- Conduct internal audits and risk assessments to identify potential vulnerabilities in our operational procedures.
- Develop, implement, and maintain comprehensive compliance policies and procedures.
- Train employees on regulatory requirements, ethics, and internal controls.
- Prepare detailed reports for senior management and regulatory bodies as required.
- Investigate and resolve compliance violations or internal complaints.
- Coordinate with external legal counsel and auditors during regulatory reviews.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field required; Master’s degree is a plus.
- Minimum of 3-5 years of experience in compliance, risk management, or auditing.
- Experience with industry-specific regulations (e.g., FINRA, SEC, HIPAA, or similar) is highly preferred.
- Strong understanding of AML (Anti-Money Laundering) and KYC (Know Your Customer) protocols.
- Excellent verbal and written communication skills with the ability to explain complex regulations simply.
- Proficiency in compliance management software and MS Office Suite.
- Ability to work independently in a remote environment while maintaining strict deadlines.