Job Description
Lead the Way in Regulatory Excellence
Apex Financial Solutions is currently seeking a highly skilled Senior Compliance Officer to join our dynamic team in Pittsburgh, PA. In this critical role, you will be responsible for ensuring our organization adheres to all relevant legal and regulatory requirements while mitigating risk.
Our Commitment
We pride ourselves on fostering a culture of transparency and integrity. As part of our team, you will have the opportunity to shape compliance strategies that protect our clients and drive sustainable business growth.
Responsibilities
- Monitor and audit internal operations to ensure compliance with federal, state, and local laws and regulations.
- Develop, implement, and maintain comprehensive compliance policies and procedures.
- Conduct regular risk assessments and internal audits to identify potential vulnerabilities.
- Prepare and present detailed compliance reports to the executive leadership and board of directors.
- Coordinate with legal counsel to interpret complex regulatory changes and ensure timely implementation.
- Provide training and guidance to employees on compliance standards and ethical conduct.
Qualifications
- Bachelor’s degree in Finance, Law, Business Administration, or a related field.
- 3-5 years of proven experience in a compliance, risk management, or auditing role.
- Strong knowledge of regulatory frameworks (e.g., SEC, FINRA, state banking laws).
- Experience with compliance management software and data analysis tools.
- Excellent analytical, verbal, and written communication skills.
- Certifications such as CCSA, CFE, or CPA are highly preferred.