Job Description
Join our dynamic team at Apex Financial Group as a Senior Compliance Officer in Indianapolis! We're urgently seeking a detail-oriented professional to ensure regulatory adherence and mitigate risks in our fast-paced financial services environment. Enjoy competitive compensation, comprehensive benefits, and opportunities for career growth in a supportive culture.
Responsibilities
- Develop and implement compliance policies aligned with federal/state regulations (SEC, FINRA, etc.)
- Conduct internal audits and risk assessments for financial products/services
- Monitor regulatory changes and advise stakeholders on compliance implications
- Investigate potential violations and recommend corrective actions
- Prepare regulatory reports and maintain accurate compliance documentation
- Train staff on compliance procedures and ethical standards
Qualifications
- Bachelor's degree in Finance, Business, or related field (Master's preferred)
- 5+ years compliance experience in financial services
- Strong knowledge of FINRA/SEC regulations and AML/KYC protocols
- Certified Regulatory Compliance Manager (CRCM) designation preferred
- Exceptional analytical and problem-solving skills
- Experience with compliance software (e.g., NASD, Bloomberg)