Job Description
Join our dynamic team at Apex Financial Solutions as a Senior Compliance Officer and play a pivotal role in safeguarding our organization's integrity. You'll be instrumental in developing, implementing, and monitoring robust compliance frameworks that align with federal regulations (including FINRA, SEC, and CFPB standards) while fostering a culture of ethical excellence. This hybrid role offers the flexibility to split time between our modern Raleigh headquarters and remote work, with competitive benefits including health insurance, 401(k) matching, and professional development stipends.
Responsibilities
- Develop and maintain comprehensive compliance policies/procedures across financial products and services
- Conduct regular risk assessments and internal audits to identify regulatory vulnerabilities
- Investigate and resolve compliance incidents with thorough documentation and root analysis
- Collaborate with legal and audit teams to ensure regulatory alignment
- Deliver engaging compliance training to staff at all organizational levels
- Stay current on evolving financial regulations through continuous research
- Act as primary liaison with regulatory agencies during examinations
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or regulated industry
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Expert knowledge of federal/state financial regulations
- Advanced proficiency in compliance management software (e.g., MetricStream, Navex)
- Exceptional analytical and problem-solving abilities
- Strong written/verbal communication skills with cross-functional teams
- Proven experience developing risk-based compliance programs