Job Description
Join our award-winning compliance team at Apex Global Solutions, where we're pioneering remote-first compliance excellence in the fintech sector. As a Senior Compliance Officer, you'll safeguard our operations while enjoying the flexibility of 100% remote work from anywhere in Los Angeles. Our dynamic environment offers career growth opportunities, competitive benefits, and the chance to shape compliance strategy for a rapidly expanding company.
We're seeking a detail-oriented professional with deep regulatory expertise to ensure adherence to federal, state, and industry standards. This hybrid role combines strategic oversight with hands-on implementation, making it ideal for career-driven compliance professionals seeking impact and flexibility.
Responsibilities
- Develop and implement comprehensive compliance programs aligned with FINRA, SEC, and California DBO regulations
- Conduct risk assessments and internal audits to identify compliance gaps
- Monitor regulatory changes and update policies accordingly
- Train staff on compliance procedures and regulatory requirements
- Investigate potential violations and recommend corrective actions
- Collaborate with legal and executive teams on compliance strategy
- Maintain accurate compliance documentation and reporting
Qualifications
- Bachelor's degree in Finance, Business, Law, or related field (Master's preferred)
- 5+ years of compliance experience in financial services or fintech
- Certified Regulatory Compliance Manager (CRCM) or equivalent certification
- Deep knowledge of California financial regulations and federal compliance frameworks
- Experience with remote compliance monitoring tools
- Exceptional analytical and problem-solving abilities
- Strong written and verbal communication skills
- Ability to work independently with minimal supervision