Job Description
Join our dynamic compliance team at Apex Financial Group and become a guardian of regulatory excellence in the heart of NYC! We're urgently seeking a Senior Compliance Officer to navigate complex regulatory landscapes and drive ethical standards across our operations. This is your chance to make an immediate impact in a fast-paced financial services environment while advancing your career with industry-leading training and competitive compensation.
Responsibilities
- Develop, implement, and monitor compliance programs aligned with FINRA, SEC, and NYDFS regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Investigate regulatory violations and recommend corrective actions
- Train staff on compliance policies and regulatory updates
- Prepare regulatory filings and maintain documentation
- Collaborate with legal and business units to ensure regulatory adherence
Qualifications
- Bachelor's degree in Finance, Law, or related field
- 5+ years of compliance experience in financial services
- FINRA Series 7, 24, or 63 licenses required
- Deep knowledge of NYDFS regulations and SEC reporting
- Strong analytical and problem-solving abilities
- Excellent written/verbal communication skills
- Proficiency in compliance management software